Special Election to Fill a Small Firm Vacancy on the National Adjudicatory Council
Reporting Asset-Backed Securities to the Trade Reporting and Compliance Engine (TRACE)
SEC Approves Changes to Reduce the Waiting Period for the Release of Information Reported on Form U5 Through BrokerCheck
FINRA Provides Guidance on Disclosure of Fees in Communications Concerning Retail Brokerage Accounts and Individual Retirement Accounts
Amendments to the Arbitration Rules Regarding Deficient Claims
FINRA Reminds Firms of Their Obligations When Reporting Large Options Positions
Summary
The purpose of this Election Notice is to notify members of an upcoming election to fill two large firm seats and one small firm seat on the National Adjudicatory Council (NAC), and to announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies. Eligible individuals not nominated by the Nominating Committee who obtain the requisite
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Systems
Executive Summary
On November 3, 1998, the Securitiesand Exchange Commission (SEC)issued a No-Action Letter to clarify itsposition under SEC Rule 15c3-1 (NetCapital Rule) regarding the
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
On August 23, 1995, the Securities and Exchange Commission (SEC) approved amendments to the Code of Arbitration Procedure (Code) clarifying the authority of arbitrators to issue injunctions. The amendments include a new section that permits parties in intra-industry disputes1 to seek emergency relief, called
FINRA Revises the Series 55 Examination Program
