FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
A. Delegation of Functions and Authority:
1. Subject to Section I.B.9., FINRA hereby delegates to FINRA Regulation and FINRA Regulation assumes the following responsibilities and functions as a registered securities association:
a. To establish and interpret rules and regulations and provide exemptions for FINRA members including, but not limited to, fees, membership requirements and dispute
SCRA offers a variety of provisions to help active duty personnel meet their legal and financial obligations. But relief under the SCRA is not always automatic.
On This Page
Getting Started
What You Need
Additional Considerations
Fairness and Impartiality
Confidentiality and Security
Technology Challenges
Preparing for a Virtual Pre-Hearing Conference
Commencing a Virtual Pre-Hearing Conference
Recording a Virtual Pre-Hearing Conference
During a Virtual Pre-Hearing Conference
Participant Etiquette
Technical
FINRA Requests Comment on a Proposal to Establish a “Pay-to-Play” Rule
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ON THIS PAGE
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 of
Executive Summary
FINRA recently held annual elections to fill vacancies on its Regional Committees, Small Firm Advisory Committee (SFAC) and the National Adjudicatory Council (NAC). Additionally, at its December meeting, the FINRA Board of Governors (FINRA Board) also selected individuals to fill several appointed seats on the SFAC and NAC. This Notice lists the individuals recently elected and
INFORMATIONALMembership Application and Continuation RulesSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceMembershipSenior ManagementNew Membership ApplicationsContinuing Membership ApplicationsRule 1011Rule 1014Rule 1017Pending Arbitration Awards and ClaimsExecutive SummaryOn December 22, 2003, the Securities and Exchange Commission (SEC) approved amendments to Rules 1011, 1014, and&
