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The festive season is here. Are you looking for the perfect gift for the compliance professional in your life? Look no further. On this episode, we cover the top five FINRA compliance resources, or gifts, for compliance professionals with FINRA's Head of Member Relations and Education.
2023 GOVERNANCE/ELECTION NOTICESTITLEDATE POSTEDFINRA Announces SFAC, Regional Committee and NAC Election Results and Appointments12/22/2023Notice of Election and Ballots for FINRA Mid-Size Firm NAC Member Seat11/15/2023Notice of SFAC Election and Mailing of Ballots10/23/2023Notice of FINRA Regional Committee Elections and Mailing of Ballots10/23/2023FINRA Announces Process to Fill Upcoming
FINRA is a U.S. based self-regulatory organization. FINRA does not have offices outside of the United States or direct goods and services to non-U.S. residents. Despite this, interactions between EU residents and the FINRA Online Services may occur. As FINRA is committed to protecting the privacy and security of personal information this supplemental privacy policy (“SPE”) applies to those
This version was introduced with the filing of SR-FINRA-2020-015, which has been filed for Immediate Effectiveness. This version is temporary and effective from May 8, 2020 through June 15, 2020, pending any future extensions.
(a) Service on Each Party
An order, notice, or decision issued by a Hearing Officer, Hearing Panel or Extended Hearing Panel under the
(a) Service on Each Party
An order, notice, or decision issued by a Hearing Officer, Hearing Panel or Extended Hearing Panel under the Rule 9200 Series shall be served on each Party, or each Party's counsel, or other person the Party designates to represent him or her in a proceeding by the Office of Hearing Officers. An order, notice, or decision issued by any other Adjudicator shall be
Goldman Sachs to Pay $650,000 for Failing to Disclose Wells Notices
This version was introduced with the filing of SR-FINRA-2020-015, which has been filed for Immediate Effectiveness. This version is temporary and effective from May 8, 2020 through June 15, 2020, pending any future extensions.
(a) Service on Each Party
Other than a complaint, order, notice, or decision, any paper, including an answer and a motion, shall be
(a) Service on Each Party
Other than a complaint, order, notice, or decision, any paper, including an answer and a motion, shall be served on each Party by the Party on whose behalf such paper was prepared or by his or her counsel or representative.
(b) How Served
The Parties shall serve documents by electronic mail, unless an alternative method of service is ordered by the Adjudicator.
FINRA client connections to its Multi Product Platform (MPP) services, such as TRACE, the Over the Counter Reporting Facility (ORF), the OTC Bulletin Board (OTCBB) and the Alternative Display Facility (ADF) are routed through Nasdaq, which acts as FINRA's service provider.