GUIDANCE
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education
(Council) has issued the annual Firm Element Advisory, a guide for
firms to use when developing their continuing
INFORMATIONAL
Dispute Resolution
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Arbitration
Dispute Resolution Regional Offices
Mediation
Executive Summary
Effective October 6, 2006, NASD will close its Mid-Atlantic Dispute
Resolution Office. All arbitration cases currently assigned to the
Mid-Atlantic Region will continue to be
New Criteria and Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the results of the contested
election for membership on the District Committee for District 7. Six
candidates were seeking to fill the three open seats on the District
Notice of FINRA Small Firm Advisory Board Election and Ballots
Summary
FINRA will conduct its Annual Meeting of firms on Wednesday, September 1, 2021, at 10:00 a.m. Eastern Time in the FINRA Visitors Center at 1735 K Street, NW, Washington, D.C. The purpose of the meeting is to elect individuals to fill one small firm seat, one mid-size firm seat and one large firm seat on the FINRA Board of Governors (FINRA Board or Board).1
It is important that all
FINRA Small Firm Advisory Board Election
Continuing Education Planning
New Firm Requirement to Designate a Super Account Administrator
