Please dont change the rules.
Proposed Rule Change Relating to Extension of Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks
For disputes involving statutory employment discrimination claims, see Rule 13802.
(a) Disputes Between Members
(1) In an arbitration between members, the panel composition will be as follows:
• If the panel consists of one arbitrator, the arbitrator will be a non-public arbitrator selected from the chairperson roster described in Rule 13400(c), unless the parties agree in
This rule is no longer applicable. NASD IM-3150 has been superseded by FINRA Rule 4540. Please consult the appropriate FINRA Rule.
(a) Upon written request for exemptive relief pursuant to the Rule 9600 Series, NASD generally will grant an exemption from the reporting requirements of Rule 3150 to a self-clearing firm that:
(1) derives, on an annualized basis, at least 85 percent of its revenue
FINRA Announces Approval of and Implementation Date for Securities Trader and Securities Trader Principal Registration Categories and Related Qualification Examination, Fee and Continuing Education Requirements
This rule is not in line with capital investment
Stop these stupid rules now!!!!
Very against this proposed rule
Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement.
Please leave rules alone,
