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FINRA Names Nominee to Fill Seat On National Adjudicatory Council

FINRA published an Election Notice announcing the nominee to fill the Small Firm vacancy on the National Adjudicatory Council ("NAC"). The sole Small Firm NAC Member candidate is Joshua Roberts, Chief Executive Officer of Arete Wealth Management, LLC, in Schaumburg, Illinois. Mr. Rogers will begin his term on January 1, 2016.

Primary Sources

  1. FINRA NAC Election Notice

Tags

Regulated Entities
Broker-Dealers Regulatory Agencies
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
FINRA