SR-FINRA-2019-009 has been approved by the SEC. Effective May 8, 2019, this rule will no longer be applicable. Please consult the appropriate FINRA rule.
(a) Except with the permission of the Exchange, or as otherwise provided by this paragraph, member organizations shall send to their customers statements of account showing security and money positions and entries at least
(a) Recusal, Withdrawal of Panelist
If at any time a Panelist of a Hearing Panel or an Extended Hearing Panel determines that he or she has a conflict of interest or bias or circumstances otherwise exist where his or her fairness might reasonably be questioned, the Panelist shall notify the Hearing Officer and the Hearing Officer shall issue and serve on the Parties a notice stating that
FINRA announced today the results of its election of two Governors to its Board of Governors. The announcement came after the Annual Meeting of FINRA firms, where Scott A. Curtis, president of Raymond James’s Private Client Group, was elected as a Large-Firm Governor, and Wendy Lanton, Chief Compliance Officer and Founding Principal of Herald & Lantern Investments, Inc., was re-elected as a Small-Firm Governor.
Investment professionals and firms are welcome to leverage and amplify investor education resources from FINRA and other trusted organizations through your own communications channels, such as newsletters, websites and social media.
This Second Amended and Restated Limited Liability Company Agreement of the FINRA/NYSE Trade Reporting Facility LLC (the "Company") (together with the schedules attached hereto, this “Agreement”), dated as of Sept 13, 2017, that replaces the First Amended and Restated Limited Liability Company Agreement of FINRA/NYSE Trade Reporting Facility LLC, between the NYSE Market, Inc. and
This Third Amended and Restated Limited Liability Company Agreement of The FINRA/NASDAQ Trade Reporting Facility LLC (the "Company") (together with the schedules attached hereto, this "Agreement"), dated as of August 1, 2018 ("Effective Date") that replaces the Second Amended and Restated Limited Liability Company Agreement of The Trade Reporting Facility, LLC,
Within 21 days after the filing of a notice of appeal pursuant to Rule 9311 or notice of call for review pursuant to Rule 9312, or at such later time as the National Adjudicatory Council may designate, the Office of Hearing Officers shall assemble and prepare an index to the record, transmit the record and the index to the National Adjudicatory Council, and serve copies of the index upon all
(a) No member or person associated with a member shall, directly or indirectly, effect any transaction or publish a quotation, a priced bid and/or offer, an unpriced indication of interest (including "bid wanted" and "offer wanted" and name only indications), or a bid or offer accompanied by a modifier to reflect unsolicited customer interest, in any security as to which a
