The Joint NASD/Industry Task Force urges mutual funds to include these definitions in their prospectuses and other relevant materials as soon as is reasonably practicable.
SR-FINRA-2008-061 - Proposed Rule Change to Adopt IM-2110-5 (Anti-Intimidation/Coordination) as FINRA Rule 5240 in the Consolidated FINRA Rulebook Without Material Change
SR-FINRA-2009-006 - Proposed Rule Change Relating to a New Limited Representative Registration Category for Investment Banking Professionals
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.
Before investing in mutual funds, it is important that you understand the sales charges, expenses, and management fees that you will be charged, as well as the breakpoint discounts to which you may be entitled.
The Financial Industry Regulatory Authority ("FINRA") (f/k/a the National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the Discovery Guide to update the Document Production Lists.
SR-FINRA-2008-049 - Financial Industry Regulatory Authority, Inc. (“FINRA”) (f/k/a National Association of Securities Dealers, Inc. (“NASD”)) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a Uniform Practice Code (UPC) Advisory that will provide notice that FINRA will halt trading in OTC Equity Securities under FINRA Rule 6460(a)(3) (formerly NASD Rule 6660(a)(3)) if there is a marketwide halt in trading in NMS stocks.
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”)
SR-FINRA-2008-055 - Proposed Rule Change to Adopt NASD Rule 2315 (Recommendations to Customers in OTC Equity Securities) as a FINRA Rule
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
