FINRA Announces Results of SFAB, NAC and District Committee Elections and Appointments
INFORMATIONAL
NAC Nominees
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to announce the
proposed nominees for the National Adjudicatory Council (NAC)
from the New York and West Regions. The nominees, nominated
for three-year terms beginning January 2007, are
INFORMATIONALSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesBoard ElectionsExecutive SummaryThe Annual Meeting of Members of NASD will be held on January 4, 2005, at 11:00 am, at the NASD Visitors Center, 1735 K Street, NW, in Washington, DC. The purpose of the meeting is to conduct the election of Governors to the NASD Board. Members can raise other topics for discussion by properly
FINRA is issuing this Information Notice to inform members of a scheduled industry presentation by the Cross Market Regulation Working Group (CMRWG) and FINRA CAT regarding SRO regulation of Consolidated Audit Trail (CAT) Compliance Rules and FINRA CAT’s role in CAT compliance.
Please see the attached ISG CMRWG Regulatory Notice 2020-02 that was issued by the participants of the ISG CMRWG.
Notice of FINRA District Committee Elections and Ballots
FINRA is issuing this Information Notice to inform members of the existence and role of the Cross-Market Regulation Working Group (CMRWG), which was established under the U.S. Subgroup of the Intermarket Surveillance Group (ISG), to focus on ways to reduce unnecessary regulatory duplication.
Please see the attached ISG CMRWG Regulatory Memorandum 2020-01 (“Notice”) that was issued by
FINRA is a not-for-profit, self-regulatory organization (SRO) dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of member firms’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to seek
Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Executive Summary
The purpose of this Special Notice to
INFORMATIONALNominees for NASD Board of GovernorsSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesSenior ManagementNASD Board of GovernorsExecutive SummaryThe Annual Meeting of NASD members will be held on January 4, 2005.The formal notice of the meeting, including the precise date, time, and location of the Annual Meeting, will be mailed on or about November 29, 2004.The individuals nominated
