FINRA Revises Sanction Guidelines
INFORMATIONAL
Dispute Resolution Hearing Location
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Senior Management
Arbitration Dispute Resolution Mediation
Executive Summary
NASD Dispute Resolution has established San Juan, Puerto Rico as an additional hearing location, effective January 1, 2003. This will be the third hearing location established outside of
Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Foreign Deferrals
In-Firm Delivery
Regulatory Element
Executive Summary
Effective July 14, 2003, the Regulatory Element Continuing Education Supervisors Program (S201) will be
New Large Options Positions Report (LOPR) Requirements Due to Implementation of Options Symbology Initiative
Executive Summary
The annual meeting of FINRA firms will take place on or about Wednesday, September 1, 2021, to elect one Large Firm Governor, one Mid-Size Firm Governor, and one Small 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 Monday, August 2
Continuing Education Planning
Upcoming FINRA Board of Governors Election
Notice of FINRA Small Firm Advisory Board Election and Ballots
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance Operations Registration Senior Management
District Elections
Executive Summary
In early June, NASD will issue a formal Notice to Members soliciting candidates and explaining the process for nominating individuals to serve on both the District Committees and the District Nominating
