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Stories of Interest
- Billionaire Investor John Paulson's Hedge Fund Is 'Rightsizing', And a Bunch of Senior Staff are Leaving
- 10 Years Ago a Wall Street Firm With $400Bn in Assets Collapsed. Why Bear Stearns Could Happen Again
- FINRA Disciplinary Actions for March 2018
- Ex-Deutsche Bank Trader Pleads Guilty Over Euribor Rigging
- SEC Proposes Transaction Fee Pilot for NMS Stocks
- FINRA Board of Governors Meeting - March 2018
- Winklevoss Twins Have a Plan to Police Cryptocurrency Trading
- Trump Picks Larry Kudlow as New Top Economic Adviser, Source Says
- A Decade On, Was Bear a Bad Deal for JPMorgan?
- Theranos, Its CEO and Former President Charged With Massive Fraud
- Wall Street's ‘Diva of Distressed’ Throws Her Funds Into Bankruptcy
- How a Former NBA #1 Draft Pick Went From $61Mn Fortune to Owing $157K
- Foreign Affiliates of KPMG, Deloitte, BDO Charged in Improper Audits
- Trump Fires Secretary of State Tillerson - Picks CIA Director Pompeo
- Credit Karma, Pre-IPO FinTech Company, Violated Rule 701 Disclosure Requirements - SEC
- Goldman Sachs' Schwartz Retires, Paves Way for Solomon as Next CEO
- Damning Emails: Trump's Lawyer Used Trump Organization Email in Hush-Money Negotiations with Porn Star Stormy Daniels
- 'Pharma Bro' Martin Shkreli Sentenced to 7 Years In Prison - Says 'This is My Fault'
- FINRA Investor Alert: Lost Property - Don't Be Escheated Out of Your Savings or Investments
- Analyst Dick Bove Calls Possible Blankfein Exit from Goldman 'Wonderful' News
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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.