FINRA Updates Supplemental Statement of Income
FINRA Adopts Amendments Relating to Use of the Alternative Display Facility for Trade Reporting Purposes Only
Im opposed to the rule, let everyone invest freely.
(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) 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
Proposed Rule Change to Update the Rules Governing the Alternative Display Facility
Proposed Rule Change Relating to Alternative Display Facility New Entrant
Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement
SummaryFINRA reminds members of its policy prohibiting members and their associated persons from making audio or video recordings of conversations between FINRA staff and member firm personnel during calls or meetings related to FINRA’s oversight functions.Questions regarding this Notice should be directed to Carrie Jordan, Principal Counsel, Office of General Counsel, at (212) 858-4210 or by
Please do not implement your proposed rule! Not fair!
