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12513. Authority of Panel to Direct Appearances of Associated Person Witnesses and Production of Documents Without Subpoenas
(a) Upon motion of a party, the panel may order the following without the use of subpoenas: (1) The appearance of any employee or associated person of a member of FINRA; or (2) The production of any documents in the possession or control of such persons or members. (b) The motion must include a draft order and must be filed with the Director. The requesting party must serve the motion and
13513. Authority of Panel to Direct Appearances of Associated Person Witnesses and Production of Documents Without Subpoenas
(a) Upon motion of a party, the panel may order the following without the use of subpoenas: (1) The appearance of any employee or associated person of a member of FINRA; or (2) The production of any documents in the possession or control of such persons or members. (b) The motion must include a draft order and must be filed with the Director. The requesting party must serve the motion and
Shay Financial Services, Inc. & Shay Assets Management, Inc. Comments on Regulatory Notice 13-42
Shay Financial Services, Inc. & Shay Assets Management, Inc. Comments on Regulatory Notice 13-42
University of Pittsburgh School of Law Securities Arbitration Clinic Comment On Section V: The Metaverse and the Implications for the Securities Industry Request for Comments
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4513. Records of Written Customer Complaints
(a) Each member shall keep and preserve in each office of supervisory jurisdiction either a separate file of all written customer complaints that relate to that office (including complaints that relate to activities supervised from that office) and action taken by the member, if any, or a separate record of such complaints and a clear reference to the files in that office containing the
Phares Financial Services, Inc. Comments on Regulatory Notice 09-25Comments on Regulatory Notice 09-25
Don’t Lose Interest: Managing Cash in Your Brokerage Account
Uninvested cash is a potentially valuable part of your investment portfolio. So it pays to pay attention to it, especially when interest rates move up or down. Understand the facts about your uninvested cash, the different cash management programs available and questions to ask.
11320. Dates of Delivery
(a) For "Cash"In connection with a transaction for "cash," delivery shall be made at the office of the purchaser on the day of the transaction.(b) "Regular Way"In connection with a transaction "regular way," delivery shall be made at the office of the purchaser on, but not before, the first business day following the date of the transaction.(c) "Seller
Information Notice 11/1/23
SummaryTo assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2024 or the first quarter of 2025. FINRA reminds members that all such filings they submit to FINRA must be made electronically