Neutral Corner - Volume 1—2019
Mission Statement
Discovery Abuses Can Be Costly (By David Carey, Associate Director, FINRA Case Administration)
Parties May Request Additional Information from Arbitrators Participating in Mock Arbitrations
Office of Dispute Resolution and FINRA News
Case Filings and Trends
DR Portal Enhancement
Arbitrator and Mediator
TRACE data is available from a number of market data vendors, both via display applications and data feeds (and/or FTP files). Below is a partial listing of market data vendors that make TRACE data available as part of their service(s). Additional vendors may exist but have elected not to be listed. Please note the information presented has been provided to the Financial Industry Regulatory
NASD has filed with the SEC a proposed rule change to amend Rule 1120 to require that each member designate and identify to NASD the individual(s) who will receive Web Central Registration Depository ("CRD") continuing education ("CE") Regulatory Element e-mails. The proposed rule change further would require that each member quarterly review and update the CE contact person(s
The following pages will be useful to registration managers and compliance managers at member firms.
Permitted Activities of Registered Representatives
Permitted Activities of Registered Principals
Effective Dates of Qualification Exams
Co-requisites for Qualification Exams
Registration Code Classifications
Terms and Acronyms
For more general information about FINRA
This notification is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using either the domain name “@finra.eu” and “@finrarec.com”. Samples of both emails are provided in Appendices 1 and 2.
The domains of “finra.eu” and “finrarec.com” are not connected to FINRA, and member firms or their customers may receive similar phishing
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the third quarter of 2024. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of December 13, 2024. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter December
The trading activity fee (TAF) is one of the regulatory fees FINRA assesses to recover the costs of supervising and regulating firms.
Registered financial professionals are licensed sales personnel who work for broker-dealer firms. Broker-dealers are in the business of buying and selling securities—stocks, bonds, mutual funds, and certain other investment products—on behalf of its customers (as broker), for its own account (as dealer), or both.
FINRA Requests Comment on a Proposal to Identify OTC Equity Trades Reported More Than Two Seconds After Execution as “Out of Sequence” and Not Last Sale Eligible
The Neutral Corner—Volume 3, 2020
Mission Statement
Maintaining Arbitrator Neutrality in the Age of Social Media (by Joyce Park, FINRA Corporate Intern)
FINRA Dispute Resolution Services and FINRA News
COVID-19 Hearing Postponements and Virtual Hearings
Virtual Arbitration Hearing Statistics
Arbitration Case Filings and Trends
Register for the DR Portal Today
Portal Enhancement: New
