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TRENDING TAGS
Stories of Interest
- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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FINRA Announces 2017 Elections
FINRA issued a Notice announcing the 2017 FINRA election cycle to fill vacancies on the FINRA district committees, Small Firm Advisory Board (SFAB), National Adjudicatory Council (NAC) and the FINRA Board of Governors (Board). Each year, FINRA conducts elections to fill vacancies on its 11 district committees, the SFAB, the NAC and the Board.
FINRA values the unique perspectives of industry members and encourages their participation in FINRA’s governance process. FINRA’s ability to draw on the expertise of those who work in the industry helps FINRA implement more effective regulatory programs that promote both investor protection and vibrant capital markets.
This Notice provides an overview of each of the FINRA elections that will take place in 2017, a description of responsibilities for the various bodies and a summary of how eligible individuals can become candidates in each election.
Related Stories: Regulators
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FINRA Election Notice: Upcoming Board of Governors Election
May 27, 2019 -
SEC and FINRA Compliance Outreach for Broker-Dealers
April 16, 2019 -
FINRA 'Inflates' Monetary Sanctions in Sanction Guidelines
March 1, 2019