Arbitration Panel Composition for Promissory Note Disputes
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Systems
Executive Summary
The Securities and Exchange Commission (SEC) is requesting comment on proposed amendments to Rule 15c3-1, the Net Capital Rule. The SEC proposes to create a new category of broker/dealer for affiliates conducting an OTC derivatives business that would have
INFORMATIONAL
Employment Arbitration Rules
Effective Date: January 18, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Arbitration
Discrimination
Employment
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational
<p>NASD Regulation does not provide interpretive guidance on the appropriateness of a commission or mark-up schedule under Rule 2440, relating to fair prices and commissions, and the related mark-up policy, IM-2440. Further, NASD Regulation does not provide any assurance in the interpretive process that a firm's absolute reliance on a schedule for determining a commission or a mark-up is appropriate.</p>
Dark Pools need to be gone, if the market is fear and fair. Where is the transparency? Short Sale Restrictions must be enforced, currently it’s a joke. Failure To Deliver must be fully enforced. If I sell something I don’t deliver the items but I keep the money, that’s stealing! Currently your rules are joke. No retail investor benefits from your rules if they are no fully enforced. If I drink
FINRA Requests Comment on Proposed Amendments to the FINRA Corporate Financing Rule
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Summary
FINRA has multiple committees that facilitate effective engagement with its member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection. The purpose of this Notice is to encourage employees of member firms and other interested parties with diverse skills, backgrounds,
Proposed Rule Change to Amend FINRA Rule 1220(a)(4) (Financial and Operations Principal and Introducing Broker-Dealer Financial and Operations Principal)
