(a) Motions to Dismiss Prior to Conclusion of Case in Chief
(1) Motions to dismiss a claim prior to the conclusion of a party's case in chief are discouraged in arbitration.
(2) Motions under this rule must be made in writing, and must be filed separately from the answer, and only after the answer is filed.
(3) Unless the parties agree or the panel determines otherwise,
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 6540(c) to exclude from the access fee display requirements access fees below a specified level.
Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions)
FINRA Adopts New Electronic Form 211 for Purposes of Compliance with FINRA Rule 6432
Proposed Rule Change Relating to Reporting of Trade Cancellations to FINRA
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the pilot period related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks).
SEC Approves Amendments Regarding Best Execution and Interpositioning
The FINRA Board of Governors will consider the following rulemaking items at its April 2015 meeting: <br><br>
<ul>
<li>Communications with the public</li>
<li>Mark-up/mark-down rule application to US treasury securities</li>
<li>Municipal advisor exam fee</li>
<li>Trading activity fee</li>
</ul>
FINRA Reminds Firms of Their Obligations Under SEC Rule 15c2-11(a)(4)
Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4)
