img.snapshot{border:1px solid #cccccc;margin-top:10px;}
.blueButton{
background-color: #1063A0;
color: #fff;
border-radius: 10px;
display: inline;
font-size: 14px;
max-width: 200px;
padding: 15px;
text-align: center;
text-transform: uppercase;
transition: all 0.3s ease-out;
width: calc(100% - 30px);
}
.blueButton a{color:#ffffff}
.Report_TOC{
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, August 19, 1996. The information relating to matters contained in this section is current as of August 5, 1996. Information received subsequent to August 5, 1996, is not reflected in this section.
Firm Fined, Individual Sanctioned
Chatfield Dean & Co. (Greenwood Village, Colorado) and Scott
Sec. 8.5 Meetings of a Regional Committee shall be held in its region, as identified in Schedule A to these By-Laws, at such times and places, upon such notice, and in accordance with such procedures as the Chief Executive Officer or his or her designee in his or her discretion may determine. A quorum of a Regional Committee shall consist of a majority of its members, and any action
Sec. 6.6 The Secretary of the Corporation shall provide administrative support to all candidates by sending to FINRA members eligible to vote based on the firm size classifications (Small Firm, Mid-Size Firm, or Large Firm) defined in these By-Laws up to two mailings of materials prepared by the candidates. The Corporation shall pay the postage for the mailings. If a candidate wants
INFORMATIONAL
NAC Nominations
Nomination Deadline: September 15, 2000
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 three upcoming vacancies on the National Adjudicatory Council (NAC). The
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, July 15, 1996. The information relating to matters contained in this section is current as of July 5, 1996. Information received subsequent to July 5, 1996, is not reflected in this section.
Firms Fined, Individuals Sanctioned
George E. Dullnig and Co. (San Antonio, Texas) and George R. Dullnig (
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
ACTION REQUESTED
Intermarket Surveillance Group1
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Blue Sheets
Executive Summary
This Notice to Members reminds member firms that by March 31,
2006, they must complete validation of certain data fields that
firms submit to the Electronic Blue Sheet (EBS) System, as directed
in Notice to Members 05
Sec. 5.6 (a) After a transitional period beginning in January 2017 and ending in December 2019, during which members may be appointed to terms of office necessary to achieve the requirements of Section 5.6(b) of this Article, each National Adjudicatory Council member shall hold office for a term of four years or until a successor is duly appointed and qualified, except in the event of
SEC Approves Amendments to FINRA Dispute Resolution By-Laws
