Customer Option to Choose an All Public Arbitration Panel in All Cases
Technology Changes for Reporting Clearing Methods and Arrangements
FINRA Requests Comment on Proposed FINRA Rule Addressing Best Execution
The purpose of this Election Notice is to notify member firms of the upcoming nomination and election process to fill forthcoming vacancies on FINRA District Committees and District Nominating Committees.
The current District Committee and District Nominating Committee members are included in Attachment A. Information on District Election procedures is included in Attachment B. A candidate
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to announce the
nominees for the District Committees and the District Nominating
Committees.1 The individuals identified in this
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
Variable Contracts
Executive Summary
This Notice to Members
SUGGESTED ROUTING
Senior Management
Legal & Compliance
National Association of Securities Dealers, Inc. Notice Of Nominees
The Annual Meeting of members of the National Association of Securities Dealers, Inc. (NASD®) will be held on December 21, 1998. A notice of meeting, including the precise date, time, and location of the Annual Meeting, will follow on or about
TO: All NASD Members and Other Interested Persons
The Securities and Exchange Commission (SEC) has amended its net capital, recordkeeping, and quarterly securities-count rules under the Securities Exchange Act of 1934 regarding the treatment of repurchase (repo) and reverse repurchase (reverse repo) agreements entered into by registered broker-dealers.
The amendments to SEC Rule 15c3-l will
Proposed Consolidated FINRA Rules Governing Supervision and Supervisory Controls; Comment Period Expires: June 13, 2008
FINRA’s Examinations team has undertaken changes to create efficiencies before, during and after the exam process to continuously improve the program. On this episode, three senior leaders of the team join us to detail some of the recent changes, including the introduction of thematic reviews, changes to the post-exam closeout process and more.
