Sec. 7.4 The Board may delegate the duties and powers of any officer of FINRA Regulation to any other officer or to any Director for a specified period of time and for any reason that the Board may deem sufficient.
Amended by SR-FINRA-2008-046 eff. Nov. 6, 2008.
Amended by SR-NASD-97-71 eff. Jan. 15, 1998.
Sec. 5.4 The Board may delegate the duties and powers of any officer of FINRA Dispute Resolution to any other officer or to any Director for a specified period of time and for any reason that the Board may deem sufficient.
Deleted by SR-FINRA-2015-034 eff. Dec. 20, 2015.
Amended by SR-FINRA-2010-007 eff. Aug. 2, 2010.
Adopted by SR-NASD-99-21 eff. July 9,
This specification describes the message formats for The Nasdaq Stock Market, Inc., Computer-to-Computer Interface to disseminate TRACE trade reporting data.
When it comes to the death of a brokerage account holder, many firms have trained staff and resources to help the living manage estate matters. Once a firm has been notified of the death of an account holder, here are some things you can expect.
Training for the Securities IndustryNASAA, the SEC, and FINRA have provided this training presentation as a resource for the securities industry. Firms can use this presentation to train associated persons about how to detect, prevent, and report financial exploitation of senior and vulnerable adult investors. The training serves as a resource for firms implementing the requirements of the
I am Richard Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
