Enhancements to FINRA’s May 18, 2018 Disclosure Review Process Relating to Public Financial Records
Notice of FINRA Small Firm Advisory Board Election and Ballots
In addition to disciplinary proceedings brought by FINRA’s Department of Enforcement, the Office of Hearing Officers also hears expedited proceedings. This Guide describes some of the Rules for expedited proceedings, which are fully set forth in Rule 9561 and the Rule 9550 and 9100 Series of FINRA’s Code of Procedure.
The purpose of this Guide is to assist the reader in understanding FINRA’s
SEC Approves Amendments to FINRA Rule 2360 (Options) and FINRA Rule 4210 (Margin Requirements) in Connection With Over-the-Counter Options Cleared by the OCC
FINRA Announces Results of SFAB, NAC and District Committee Elections and Appointments
Special Election to Fill FINRA Large Firm Governor Vacancy
FINRA Small Firm Advisory Board Election
Dissemination of Qualified Contingent Trades Reported to FINRA
Executive Summary
On January 11, 1999, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) Rule 2860(b)(3)(A), tripling the position limits on standardized (exchange-traded) equity options to make them equivalent to the limits on conventional (over-the-counter) equity options overlying the same security. These amendments
FINRA Small Firm Advisory Board Election
