Revised Discovery Guide and Document Production Lists for Customer Arbitration Proceedings
Arbitrator Training
Training Module
Arbitrators must complete the Expungement training course and pass the exam with a score of at least 80%. It is available on FINRA’s training platform.
Expungement Training (Module 16)
Enhanced Expungement Training - NEW
The Enhanced Expungement Training provides an overview of revisions to the Codes of Arbitration Procedure to
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
We selected the topics in this Report for their interest to the largest number of firms; consequently, they may include areas that are not relevant to an individual firm and omit other areas that are applicable.FINRA advises each firm to review the Report and consider incorporating relevant elements into its compliance program in a manner tailored to the firm’s activities and
SEC Approval and Effective Date for New Consolidated FINRA Rules and the Repeal of Certain NASD and Incorporated NYSE Rules
This will negatively impact the trading capacity of younger, yet informed, traders such as myself.
I dont agree with the additional requirements. Information about the risks involved are sufficient
Keep all the etfs and funds. Keep regulations, warnings and information as well.
Notice to Arbitrators and Parties on Expanded Expungement Guidance
Following are "Frequently Asked Questions" regarding the Order Audit Trail System (OATS).
