BROWSE BY TOPIC
Stories of Interest
- North Korean caught secretly mining bitcoin rival
- IPO Timelines Cut by 80% After SEC's Private Filing Decision
- How the Carried Interest Break Survived the Tax Bill
- FINRA: The Neutral Corner
- Coinbasex Says Buying and Selling Temporarily Disabled Amid Price Rout
- Bitcoin plunges by more than a third in a single day
- Goldman Is Setting Up a Cryptocurrency Trading Desk
- Jefferies Lets Employees Choose When to Receive Their Bonuses
- UBS Told to Pay $903K After Losing Retaliation Verdict
- BEWARE: Long Island Iced Tea Shares Soar After Changing Name to Long Blockchain
- Gary Cohn’s Last Laugh: Cashing Out on Trump’s Tax Plan
- E*Trade Lets Customers Trade in CBOE Bitcoin Futures
- Swiss Find Serious Shortcomings at JPMorgan in 1MDB Case
- Washington-based Investment Adviser and His Business Partner Charged in Multi-Million Dollar Scheme
- FINRA Board of Governors Meeting
- Cryptocurrency Market Now Doing Same Daily Volume as the NYSE
- Jailed Barclays Trader Must Pay $400,000 From Libor Profits
- Trump Asks ‘How’s Your 401(k)?’ But Most Voters Don’t Have One
- A Bitcoin Hedge Fund’s Return: 25,004% (That Wasn’t a Typo)
- Madoff Victims Near Full Recovery of Principal With Payout
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NEWSLETTERS & ALERTS
FINRA Elections – A Call for Nominations
FINRA issued 2 Election Notices announcing the need to fill positions or vacancies on: (i) the FINRA Small Firm Advisory Board (SFAB); and, (ii) FINRA District Committees. Nominations for all seats listed below must be submitted to FINRA by 10/9/17.
(i) FINRA SMALL FIRM ADVISORY BOARD. The SFAB comprises 10 members: (i) 5 regional members elected by small firms in the 5 FINRA regions; and, (ii) 5 at-large members appointed by FINRA. In this election, there are:
- 2 full-term seats up for election: a South Region seat and a Midwest Region seat.
- 1 partial-term vacancy for the North Region Representative seat.
The SFAB provides guidance to FINRA staff, particularly regarding the potential impact of proposed regulatory initiatives on FINRA’s small firms. The SFAB meets 5 times a year, primarily in Washington, DC, prior to each FINRA Board of Governors meeting. SFAB members are expected to attend SFAB meetings in-person, and may be requested to attend certain regional, district and other FINRA meetings. Potential candidates should ensure that their other commitments will allow for their in-person attendance at all SFAB meetings.
For further details on the SFAB as well as the nomination process, click on FINRA SFAB Election Notice.
(ii) FINRA DISTRICT COMMITTEES. District Committees from districts 1, 2, 3, 4, 5, 6, 7, 8, 9 and 11 comprise three small, one mid-size and three large firm representatives who are elected by firms of the same size. The District 10 Committee comprises six small, two mid-size and six large firm representatives who are elected by member firms of the same size.
- The District Committees for Districts 1, 2, 3, 4, 5, 6, 7, 8, 9 and 11 each have 3 full-term vacancies to fill: one representing a small firm seat, one representing a mid-size firm seat and one representing a large firm seat.
- District 10 has 5 full-term vacancies to fill: 2 representing small firm seats, one representing a mid-size firm seat and 2 representing large firm seats.
- Individuals elected to fill the above vacancies will be elected to 3-year terms expiring 12/31/20.
- There are 3 partial-term vacancies to replace individuals who resigned prior to the conclusion of his or her term: one small firm representative for District 1, one large firm representative for District 2 and one large firm representative for District 10.
- The individuals elected to fill these partial-term vacancies will serve until 12/31/18.
For further details on the FINRA District Committees as well as the nomination process, click on FINRA District Committees Election Notice.