FINRA is committed to ensuring that all respondents are treated fairly in expedited proceedings. Below, you will find brief answers to a number of questions frequently asked by respondents. We hope these answers will be helpful in orienting you to the process for expedited proceedings.
FINRA’s expedited proceedings are governed by the Rule 9550 series of FINRA’s Code of Procedure and FINRA Rule
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 1010 (Electronic Filing Requirements for Uniform Forms) to permit firms to file a Form U4 (Uniform Application for Securities Industry Registration or Transfer) based on an electronically signed copy of the form.  
I have been investing using leveraged funds, inverse funds, options contracts and futures for 30 years.
The only time I lost money was when regulators changed rules on my trades.
STAY OUT OF MY MONEY AND LET ME MANAGE IT WITHOUT CONSTANTLY CHANGING RULES!!!
Enough with the paternalistic overreach. Adults should be free to invest the money they have legally earned without regard to class. Having to pass a test to spend your own money is outrageous. Promulgating rules that disadvantage people of lesser means is disgraceful and un-American. This rule change should be rejected.
NASD has filed with the SEC a proposed rule change to adopt new Rule 3012 and amend other rules regarding the supervisory and supervisory control procedures of member firms.
Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Proposed Rule Change Relating to the Composition of Hearing Panels and Extended Hearing Panels in Disciplinary Proceedings
INFORMATIONAL
Interval Funds
Effective Date: June 20, 2000
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Mutual Fund
Registered Representatives
Mutual Funds
NASD Rule 2710
NASD Rule 2830
Underwriting Compensation
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) has adopted amendments to National Association of Securities Dealers
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend for 120 days, to December 29, 2005, the provisions of NASD Rule 2210(c)(3) and Interpretive Material 2210-5 (collectively, the "Rules") on a pilot basis, unless extended or permanently approved before that date. The Rules, as approved by the
Proposed Rule Change to Adopt FINRA Rule 4360 (Fidelity Bonds) in the Consolidated FINRA Rulebook
