FINRA Announces Upcoming Vacancy on the National Adjudicatory Council
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Training
Executive Summary
The NASD® reminds members that registered persons who do not satisfy their Regulatory Element computer-based training requirement within the 120-calendar-day period beginning on the second, fifth, or tenth anniversary of their initial securities registration or of the date of a serious
Notice of Annual Meeting of FINRA Firms and Proxy
INFORMATIONAL
Primex Auction System
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Technology
Trading & Market Making
Trading Systems
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) and Nasdaq® Boards have agreed to establish the Primex Auction SystemTM, a new trading system designed to
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Notice of FINRA District Committee Elections and Ballots
Late Disclosure Fee Related to Reporting of Judgment/Lien Events
If you are not a FINRA Regulatory Filing Applications Account Administrator:
Contact your firm's Regulation Filing Applications Account Administrator, and request that the Administrator add the Customer Margin Balance Form entitlement to your FINRA user account.
If you do not have a FINRA user account, your firm’s Regulation Filing Applications Account Administrator can create one for you
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
