6SIFMA and Other Associations Submit Comments to the Securities and Exchange Commission on Structure of MCDC: SIFMA suggested adjusting MCDC’s 5‐10 year look‐back period to determine whether or not issuers … Continue reading SIFMA and Other Associations Submit Comments to the Securities and Exchange Commission on Structure of MCDC →

Election Notice 8/1/14 FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council Petitions for Candidacy Due: September 15, 2014 Executive Summary The purpose of this Election … Continue reading FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council →