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FINRA Notices

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U.S. Treasury Security Auction Awards
Posted: January 9, 2019, 5:00 am
FINRA Updates Supplemental Statement of Income
Posted: January 8, 2019, 5:00 am
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Posted: January 2, 2019, 5:00 am

Executive Summary

FINRA’s annual Regional Committee, Small Firm Advisory Committee (SFAC) and National Adjudicatory Council (NAC) elections concluded in November. Additionally, the FINRA Board of Governors (FINRA Board) recently appointed individuals to fill a number of additional vacancies on the NAC and SFAC. This Notice lists the individuals recently elected and appointed to the SFAC, NAC and Regional Committees.

Posted: December 21, 2018, 5:00 am
2019 Holiday Margin Extensions Schedule
Posted: December 21, 2018, 5:00 am
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Posted: December 18, 2018, 5:00 am
Optional One-Day Extension for Customer and PAB Reserve Formula Computations and Required Deposits Around the December 2018 Month-End Holidays
Posted: December 17, 2018, 5:00 am
SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a $200 Honorarium for Contested Subpoenas or Orders
Posted: December 10, 2018, 5:00 am
Changes to Contrary Exercise Advice Cut-Off Time for National Day of Mourning
Posted: December 4, 2018, 5:00 am

Summary

Posted: December 3, 2018, 5:00 am
 

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