(a) The panel must dismiss an arbitration or a claim at the joint request of the parties to that arbitration or claim. The dismissal will be with or without prejudice, depending on the request of the parties.
(b) The panel may dismiss a claim or an arbitration:
• Upon motion of a party under Rule 13206; or
• On its own initiative under Rule
(a) The panel must dismiss an arbitration or a claim at the joint request of the parties to that arbitration or claim. The dismissal will be with or without prejudice, depending on the request of the parties.
(b) The panel may dismiss a claim or an arbitration:
• Upon motion of a party under Rule 12206; or
• On its own initiative under Rule
(a) No member or person associated with a member shall, directly or indirectly, give or permit to be given anything of value, including gratuities, in excess of one hundred dollars per individual per year to any person, principal, proprietor, employee, agent or representative of another person where such payment or gratuity is in relation to the business of the employer of the recipient of the
(a) Applicability
No person associated with a member shall participate in any manner in a private securities transaction except in accordance with the requirements of this Rule.
(b) Written Notice
Prior to participating in any private securities transaction, an associated person shall provide written notice to the member with which he is associated describing in detail the proposed transaction
(a) Designation of Custodian
A member that files a Form BDW shall designate on the Form BDW, as the custodian of the member's books and records: (i) a person associated with the member at the time that the Form BDW is filed; or (ii) another FINRA member.
(b) Obligations of Custodians
The custodian designated on the Form BDW shall preserve the books and records of the member
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Rule 606 of Regulation NMS requires broker-dealers to disclose information regarding the handling of their customers’ orders in NMS stocks and listed options. These disclosures are designed to help customers better understand how their firm routes and handles their orders, assess the quality of order handling services provided by their firm, and ascertain whether the firm is effectively managing potential conflicts of interest that may impact their firm’s routing decisions.
Stay ahead of industry regulations. Find the most recently approved rule changes and their pending effectives dates. Ensure compliance and stay informed.
Access the official FINRA Regulation, Inc. By-Laws in printable format. Stay informed on FINRA’s governance structure and regulatory framework.
