2019 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Administrative Changes to the Continuing Education Regulatory Element Programs
Summary
FINRA will conduct a special meeting of large firm members on or about October 31, 2022, to elect one individual to fill a vacant Large Firm Governor seat on the FINRA Board of Governors (FINRA Board).1 A formal notice of the special meeting, including the precise date, time and location, will be mailed to executive representatives on or about October 10, 2022.
The purpose of
Notice of FINRA District Committee Elections and Ballots
Summary
Effective July 4, 2017, 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 $21.80 per million dollars in transactions to a new rate of $23.10 per million dollars in transactions.
Finance-related questions should be directed to Amanda Rath, Manager, Finance, at (240) 386-
Mr. Chairman and Members of the Subcommittee: Thank you for inviting us to testify on financial literacy and for allowing us to submit this statement for the record. NASD is committed to expanding the knowledge and confidence of all Americans wishing to build a more secure financial future through saving and investing.
Clarification to Fall 2000 Regulatory & Compliance Alert
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Notice of SFAC Election and Ballots
Release DateSystemAreaDescriptionDecember 20, 2023FINRA GatewayFINRA Contacts System (FCS)Automated the Email Reminder Process for FCS Annual ReviewFirst email reminder will be sent to Executive Representative (ER), Designated Assistant for ER and Chief Compliance Officer on the first business day of the calendar year.Second email reminder will be sent on the 10th business day of each calendar
