14106. Representation of Parties
(a) Representation by Party
Parties may represent themselves in mediation held in a United States hearing location.
For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008. |
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008. Renumbered from Rule 10402 and amended by SR-NASD-2007-022 eff. April 16, 2007. Adopted by SR-NASD-2004-013 eff. Jan. 30, 2006. |