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https://www.sifma.org/wp-content/uploads/2022/05/FINRA-Regulatory-Notice-22-08-Complex-Products-and-Options-5.9.2022.pdf
Via E-Mail to [email protected] Jennifer Piorko Mitchell FINRA, Office of the Corporate Secretary 1735 K Street, NW Washington, DC 20006-1506 Re: FINRA Regulatory Notice 22-08, Complex Products and Options Dear Ms. Mitchell: The Securities Industry and Financial Markets Association (“SIFMA”)1 appreciates the
https://www.finra.org/sites/default/files/NoticeComment/FINRA_Pennying_final-a%20%5BMike%20Nicholas%20-%20Bond%20Dealers%20of%20America%5D.pdf
Office of the Corporate Secretary FINRA 1735 K St NW Washington DC 20006-1506 Dear Ms. Mitchell, The Bond Dealers of America is pleased to comment on FINRA Notice 20-29, “FINRA Requests Comment on the Practice of Pennying in the orporate ond Market” (the “Notice”). BDA is the only DC-based
https://www.cfainstitute.org/-/media/9C6418CFA9F04B25B57F20FC8FD380B6.ashx
Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: Jumpstart Our Business Startups (JOBS) Act--Proposed Funding Portals (Regulatory Notice 13-34) Dear Ms. Asquith: CFA Institute1 appreciates the …
https://www.finra.org/sites/default/files/NoticeComment/Jeffrey%20D%20Karpf_Cleary%20Gottlieb%20Steen%20%26%20Hamilton%20LLP_1.18.2022%20-%20Comment%20Letter%20-%20Regulatory%20Notice%2021-40%20%2801.18.2022%29.pdf
[email protected] . Jennifer Piorko Mitchell . Office of the Corporate Secretary . FINRA . 1735 K Street, NW . Washington, DC 20006-1506 . Re: Regulatory Notice 21-40 – FINRA Requests Comment on Amendments to Rule 11880 Shortening the Settlement of Syndicate Accounts . Dear Ms. Mitchell:
https://www.finra.org/sites/default/files/NoticeComment/p473385.pdf
Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006 Re: Margin Requirements (Regulatory Notice 14-02) Dear Ms. Asquith: The Investment Company Institute (“ICI”)1 is submitting this letter in response to a request for comment by the Financial Industry Regulatory Authority (“FINRA”) on the proposed amendments
https://www.finra.org/sites/default/files/NoticeComment/p123718.pdf
VIA ELECTRONIC MAIL ([email protected]) Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: FINRA Regulatory Notice 11-14 (the “Notice”); Proposed New FINRA Rule 3190 Third-Party Service Providers Dear Ms. Asquith:
https://www.finra.org/sites/default/files/NoticeComment/p519160.pdf
Office of the Corporate Secretary FINRA 1735 K Street, NW. May 23, 2014. Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506. Re: Retrospective Rule Review, FINRA Notice 14-15 (April 2014) Dear Ms. Asquith:
https://www.themuse.com/jobs/finra/principal-counsel-office-of-the-corporate-secretary-compliance-and-governance
Under the guidance of the Vice President, Deputy Corporate Secretary (DCS), the Principal Counsel is responsible for departmental compliance functions and initiatives for the Office of the Corporate Secretary (OCS), including creating, interpreting, advising on, monitoring and maintaining various Board-level conflicts-of-interest and governance policies and procedures; …
https://www.salary.com/job/finra/principal-counsel-office-of-the-corporate-secretary-compliance-and-governance/j202201210732552244092
Apply for the Job in Principal Counsel, Office of the Corporate Secretary (Compliance and Governance) at Washington, DC. View the job description, responsibilities and qualifications for this position. Research salary, company info, career paths, and top skills for Principal Counsel, Office of the Corporate Secretary (Compliance and Governance)
https://www.sec.gov/rules/sro/finra/2022/34-94891-ex2b.pdf
September 23, 2019 Ms. Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: FINRA Request for Comment on a Proposal to Require Reporting of Transactions in U.S. Dollar-Denominated Foreign Sovereign Debt Securities to TRACE (FINRA Regulatory Notice 19-25)
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