Proposed Rule Change to Adopt the Consolidated FINRA Supervision Rules
GUIDANCE
NAC Nominations
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to advise members
of the nomination procedures to fill two upcoming vacancies on the
National Adjudicatory Council (NAC). The three-year terms of the
NAC regional Industry members from
FINRA Announces Results of SFAB, NAC and District Committee Elections
FINRA E-Bill is an online billing system through which firms can review invoices and submit payment via wire transfer or ACH (or online by credit card). E-Bill is accessible through the FINRA Firm Gateway-a tool that provides centralized access to FINRA regulatory and filing applications.
SEC Approves Rule to Establish an Accounting Support Fee to Fund the Governmental Accounting Standards Board
FINRA is conducting an assessment of firms’ approaches to managing cyber-security threats. FINRA is conducting this assessment in light of the critical role information technology (IT) plays in the securities industry, the increasing threat to firms’ IT systems from a variety of sources, and the potential harm to investors, firms, and the financial system as a whole that these threats pose.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Proposed Rule Change to Adopt FINRA Rules 0190 (Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation) and 2040 (Payments to Unregistered Persons) in the Consolidated FINRA Rulebook, and Amend FINRA Rule 8311 (Effect of a Suspension, Revocation, Cancellation, or Bar)
Remarks from the CCOutreach BD National Seminar, as prepared for delivery.
