In a special notice describing the responsibilities of the Small Firm Advisory Committee, Regional Committees, National Adjudicatory Council, and FINRA Board of Governors, FINRA provided an overview of elected vacancies to be filled in 2022 and described how eligible individuals can qualify as candidates.
FINRA is encouraging member firms and other interested parties to participate in its advisory and ad hoc committees.
FINRA named Scott W. Anderson as Executive Vice President and Head of Market Regulation and Transparency Services.
FINRA proposed to amend its By-Laws on the removal of National Adjudicatory Council members.
The MSRB proposed updates to its by-laws to reflect recent amendments to MSRB rules on membership and governance.