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Election Notice – 6/11/18
Notice of Special Meeting of Large Firms and Proxy
Trade Reporting Notice - 12/21/11
FINRA Addresses Frequently Asked Questions About TRACE Reporting Issues
Notice To Members 91-22
SUGGESTED ROUTING:* Senior ManagementInternal AuditOperationsTrading*These are suggested departments only. Others may be appropriate for your firm. On June 30, 1988, the maximum Small Order Execution System (SOES) order size for all Nasdaq National Market System (Nasdaq/NMS) securities was established as follows: A 1,000-share maximum order size was applied to those Nasdaq/NMS
Trade Reporting Notice - 6/3/11
FINRA Reminds Firms of Their Trade Reporting Obligations and Announces New Submission Process for Form T
Election Notice – 4/20/18
Special Election to Fill a FINRA Large Firm Governor Vacancy
Information Notice 10/7/14
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Information Notice - 10/14/11
Continuing Education Planning
Information Notice - 12/1/11
2012 Annual Audit and FOCUS Report Filing Deadlines
Information Notice - 01/07/11
January 2011 Supplement to the Options Disclosure Document
Information Notice - 4/20/11
March 2011 Supplement to the Options Disclosure Document