Date
Feature
Description
December 15, 2022
Requests and Filings
Filters:
Re-design in the layout
Moved all the Frequently used filters to the top such as Date filter, Overdue and Status filter
Mapped the Type filters under their associated “parent” Category filters
Enabled the multi-select capability under each
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Systems
Executive Summary
On November 3, 1998, the Securitiesand Exchange Commission (SEC)issued a No-Action Letter to clarify itsposition under SEC Rule 15c3-1 (NetCapital Rule) regarding the
As we observe National Consumer Protection Week amid a changing financial fraud landscape, the time is ripe to talk about the ways in which investors can protect themselves from scams. On this episode, a member of the FINRA Investor Education Foundation team joins us to talk about how we can all become more informed and vigilant in today's complex financial world.
Testing And Continuing Education Scheduling Procedures Revised
To provide a better level of service to members, NASD Regulation, Inc., and the Sylvan Technology Center Network (Sylvan) have agreed that certain appointment scheduling activities regarding testing and continuing education sessions will become the direct responsibility of NASD RegulationSM. Effective June 1, 1998, NASD Regulation
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The U.S. Department of the Treasury recently adopted regulations under the South African Sanctions Act. The provisions of the Act were the subject of NASD Notice to Members 86-76.
This notice provides information relating to the new investment provisions of the Act which became effective on November 16, 1986.
The full text of
Summary
FINRA conducts annual elections to fill positions on its Regional Committees, the Small Firm Advisory Committee (SFAC), the National Adjudicatory Council (NAC)1 and the FINRA Board of Governors (FINRA Board). This Notice provides:
a description of responsibilities for the various groups;
an overview of each elected vacancy to be filled in 2021; and
a summary of how eligible
(a) Supervisory SystemEach member shall establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with applicable FINRA rules. Final responsibility for proper supervision shall rest with the member. A member's supervisory system shall provide, at a minimum, for
Composition of Panels(a) Generating Lists(1) The list selection algorithm will generate:(A) A list of 10 arbitrators from the FINRA non-public arbitrator roster;(B) A list of 15 arbitrators from the FINRA public arbitrator roster; and(C) A list of 10 public arbitrators from the FINRA chairperson roster.(2) The list selection algorithm will generate the chairperson list first. Chair-qualified
(a) Recovery of cost of services. FINRA shall, in accordance with this section, collect member regulatory fees that are designed to recover the costs to FINRA of the supervision and regulation of members, including performing examinations, financial monitoring, and policy, rulemaking, interpretive, and enforcement activities. FINRA shall periodically review these revenues in conjunction with
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This version of the rule is effective for cases filed on or after Mar 04, 2024 through Mar 02, 2025.To view other versions open the versions tab on the right.(a) Applicability of RuleThis rule applies to arbitrations involving $50,000 or less, exclusive of interest and expenses. All arbitrations administered under this rule will be decided on the pleadings and
