Sec. 8. (a) Each branch office of a member of the Corporation shall be registered with and listed upon the membership roll of the Corporation, and shall pay such dues, assessments, and other charges as shall be fixed from time to time by the Board pursuant to Article VI.
(b) Each member of the Corporation shall promptly advise the Corporation via electronic process or such other
Sec. 4.2 The Board shall consist of no fewer than five and no more than seventeen Directors, the exact number of Board members will be determined by resolution adopted by the stockholder of FINRA Regulation from time to time. Any new Director position created as a result of an increase in the size of the Board shall be filled pursuant to Section 4.4.
Amended by SR-FINRA-2015-034 eff.
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
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
Sec. 12. The Secretary of the Corporation shall provide administrative support to the candidates in a contested election under this Article by sending to members eligible to vote for such category of Governors up to two mailings of materials prepared by the candidates. The Corporation shall pay the postage for the mailings. If a candidate wants such mailings sent, the candidate shall
Sec. 4.1 The property, business, and affairs of FINRA Regulation shall be managed by or under the direction of the Board. The Board may exercise all such powers of FINRA Regulation and have the authority to perform all such lawful acts as are permitted by law, the Restated Certificate of Incorporation, these By-Laws, or the Delegation Plan to assist FINRA in fulfilling its self-
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
SummaryEffective May 22, 2024, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will increase from its current rate of $8.00 per million dollars in transactions to a new rate of $27.80 per million dollars in transactions.Finance-related questions should be directed to:Amanda Rath, Manager, Finance, at (240) 386-6637 or by
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
