FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Markups, Commissions and Fees
FINRA Firm Grouping Conference is a one-day conference designed to provide financial professionals associated with FINRA member firms the opportunity to engage in key discussions with FINRA staff and connect with industry leaders and peers. The conference includes thoughtful discussions around the future landscape of the financial services industry. In-person attendees have access to breakout
In the FINRA Dispute Resolution Services forum all prehearing conferences are held on the Zoom platform with video and, generally, hearings are held in person unless the Codes of Arbitration Procedure provide otherwise. Also, the parties may agree to, or the panel may grant a motion for, a prehearing conference or hearing to be held another way.
1423 Leslie Avenue Alexandria, VA 22301 August 7, 2023 Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA 1735 K Street, NW Washington DC 20006-1506 RE: Rule 5110 and Regulatory Notice 23-09 Dear Ms. Mitchell: Thank you for the opportunity to comment on FINRA rules impacting capital formation. CrowdCheck, together with its affiliated law firm, CrowdCheck Law, was formed for the
Rule Filing Status As Of March 4, 1999
NASD Rule Filing Status
The following is a list of rule filings by the National Association of Securities Dealers, Inc. (NASD® or Association) that are pending at the Securities and Exchange Commission (SEC); recently have been approved and have not been announced in a Notice to Members; or recently have been withdrawn. The information is current as of
August 28, 2002This article is being issued to remind firms of specific reporting obligations under the OATS Rules and the OATS Reporting Technical Specifications. Please take some time to review your code and operations to ensure the following obligations are being met.
Use the Rejected ROE Resubmit Flag when Repairing Rejects
Firms must set the Rejected ROE Resubmit Flag to "Y
INFORMATIONAL
Registration Rules
Effective Date: July 7, 2003
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General Securities Principal Sales Supervisor Module (Series 23)
General Securities
GUIDANCEBranch Office DefinitionEffective Date: May 1, 2006SUGGESTED ROUTINGKEY TOPICSContinuing EducationLegal & ComplianceOperationsRegistered RepresentativesRegistrationSenior ManagementTrainingBranch Office DefinitionBranch Office RegistrationCentral Registration Depository(CRD® or Web CRD)Form BR (Uniform Branch OfficeRegistration Form)IM-3010-1Internal InspectionsRule
Proposed Rule Change to Adopt FINRA Rule 6490 Relating to Processing of Company-Related Actions and Implementing Fees for Such Services
FINRA Requests Comment on a Proposal to Establish a Publicly Accessible Online Repository of Form 211 Information
