NASDR has filed with the SEC a proposed rule change to amend Interpretive Material 8310-2 of the National Association of Securities Dealers, Inc., which governs the Public Disclosure Program.
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to the Code of Arbitration Procedure to encourage the use of mediation and increase revenue by adjusting mediation fee schedules, and to permit parties to agree to stay arbitrations in order to mediate the claim.
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Proposed rule change to amend the definition of "person associated with a member" in the By-Laws of the NASD, NASD Regulation, Inc. (“NASD Regulation”) and The Nasdaq Stock Market, Inc. (“Nasdaq”)
FINRA's process for generating andmailing certain invoices related to charges for usage of the ORF and the OTCBB will change on April 1, 2008.
Answer – A respondent's written reply to a claim.
Arbitration Case Administrator – The person at FINRA who handles administrative matters in arbitration proceedings.
Arbitrator – A person chosen to decide arbitration disputes between parties.
Associated Person – An associated person is any person engaged in the investment banking or securities business who is directly or indirectly
NASD is issuing this article to clarify member responsibilities as they relate to OATS reporting when: 1) routing an order to another exchange for handling or execution, and 2) executing an order and reporting the execution on a national securities exchange or a facility operated by a national securities association.
Executive Summary
The NASD today appointed Bernard Thompson as Ombudsman for the NASD and its subsidiaries, The Nasdaq Stock Market, Inc., and NASD Regulation, Inc. The Ombudsman position has been created within the NASD's Department of Internal Review. The Ombudsman will serve as an alternative dispute resolution practitioner. His primary objective is to find an acceptable solution to
Effective October 1, 2007, the fee for processing each set of fingerprints submitted by a member firm to FINRA will decrease from $35 to $30.25.
NASDR has filed with the SEC a proposed rule change to amend Rule 3110(f) of the NASD governing the use of predispute arbitration agreements with customers.
