SUGGESTED ROUTING
Legal & Compliance
Registration
Systems
Training
Executive Summary
On September 8, 1995, the Securities and Exchange Commission (SEC) approved NASD® Rule 3070 (formerly Article III, Section 50 of the NASD Rules of Fair Practice) (the Rule) for reporting customer complaint information and other specified events to NASD Regulation, Inc. (NASD Regulation). The
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
NASD members are invited to vote on amendments to the NASD By-Laws implementing the recommendations of the Special Committee
FINRA will consider, as a whole, the Applicant’s business plan, information and documents submitted by the Applicant under NASD rule requirements, information provided during the Membership Interview, as well as information obtained by the staff, taking into account the following standards set forth in NASD Rule 1014:
On this episode, we hear from members of both the Vulnerable Adults and Seniors (VAST) Intake and Investigations teams to hear how the groups work with individual investors, firms, states and other regulators to prevent and detect financial exploitation of senior and other vulnerable investors.
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council
Notice of Annual Meeting of FINRA Firms and Proxy
The OATS Compliance Report Card is a monthly status report on the number and percentage of:
OATS Late Submissions;
Out of Sequence Events;
Unmatched Execution Reports;
Unmatched Exchange Route Reports;
Unmatched Interfirm Route Reports;
Unmatched Interfirm Routes Received; and
Unrepaired Repairable Rejected Order Events.
Member firms are required to submit Reportable Order
• Borrowing From or Lending to Customers—Failure to Comply With Rule Requirements
• Churning or Excessive Trading
• Communications With the Public—Late Filing; Failing to File; Failing to Comply With Rule Standards or Use of Misleading Communications
• Customer Account Transfer Contracts—Failure to Comply
On This Page
Virtual Arbitration Hearing Statistics
Arbitration Statistics Through December
Historical Statistics for Cases Filed and Closed
Top 15 Controversy Types in Customer Arbitrations
Top 15 Security Types in Customer Arbitrations
Top 15 Controversy Types in Intra-Industry Arbitrations
How Arbitration Cases Close
Results of Customer Claimant Arbitration Award Cases
Result
(a) Procedures for Reviewing Transactions
(1) An Executive Vice President of FINRA's Market Regulation Department or Transparency Services Department, or any officer designated by such Executive Vice President (FINRA officer), may, on his or her own motion, review any over-the-counter transaction involving an exchange-listed security arising out of or reported through a trade reporting
