Stop these stupid rules now!!!!
Very against this proposed rule
NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc. ("NASD Dispute Resolution"), is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the NASD Code of Mediation Procedure ("Mediation Code") to re-number the rules, update cross references, and re-insert rule language that had been
Proposed Rule Change to Update Certain Rule Cross-References and Make Other Non-Substantive Technical Changes to FINRA and NASD Rules
Please leave rules alone,
Summary
Investment professionals often develop close and trusted relationships with their customers, which in some instances have resulted in the investment professional being named the customer’s beneficiary, executor or trustee, or holding a power of attorney or a similar position for the customer. Being a customer’s beneficiary or holding a position of trust may present significant conflicts
Amendments to the Arbitration Rules Regarding Deficient Claims
Proposed Rule Change to Amend FINRA Rule 6710 to Modify Agency Debt Security Dissemination Protocols
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt new Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision) that would align FINRA’s definition of an office of supervisory jurisdiction (“OSJ”) and the classification of a location that
