Extension of Current Rate for Fees Paid Under Section 31of the Exchange Act
FINRA Notice of Contested Election and Ballots for Small Firm NAC Member Seat
Help for Arbitrators
I don’t know how to register for the DR Portal
I’m having trouble registering for the DR Portal
I’m having trouble uploading documents to or downloading documents from the DR Portal
Help for Parties
I’m a Claimant who filed a Statement of Claim but I can’t access the case on the DR Portal
I’m Claimant’s counsel and I can’t access the case on the DR Portal
I’m a
FINRA Small Firm Advisory Board Election
Executive Summary
The annual meeting of FINRA firms will take place on or about Tuesday, August 22, 2017, to elect one Small Firm Governor, and one Large Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about July 21, 2017.
Eligible individuals who have
GUIDANCE
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 inform members of the upcoming nomination and election process to fill
Submission of PAIB Computation in FOCUS Filings; Reporting INSITE Data
