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
NASD Regulation Delays Implementation Date Of Phase III Of OATS From October 31, 2000 To December 15, 2000
On August 30, 2000, NASD Regulation, Inc. (NASD RegulationSM ) filed with the Securities and Exchange Commission (SEC) for immediate effectiveness a rule proposal that extends the implementation date of Phase III of the Order Audit Trail System (OATSSM) to December 15, 2000. As provided
I urgently oppose this rule that would severely limit my investment options.
I oppose the proposed rule that hinders my ability to invest in these type of funds.
I oppose the passage of these new rules limiting by ability to freely trade options
Proposed Rule Change to Adopt a Supplemental Schedule for Inventory Positions Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
GUIDANCE
Code of Arbitration Procedure
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Registered Representatives
Senior Management
Training
Arbitration
Code of Arbitration Procedure
Dispute Resolution
Mediation
Executive Summary
The Securities and Exchange Commission (SEC) has approved the
NASD Codes of Arbitration Procedure for Customer and Industry
Disputes (
Proposed Rule Change to Adopt FINRA Rule 6191(a) to Implement the Quoting and Trading Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program
SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Mutual Fund
Executive Summary
On May 29, 1998, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc.(NASD®) Rule 3110 (the Books and Records Rule) that (i) change the definition of "institutional account" to include the accounts
SUGGESTED ROUTING
Senior ManagementCorporate FinanceGovernment SecuritiesinstitutionalInternal AuditLegal & ComplianceMunicipalMutual FundOperationsTraining
Executive Summary
The Securities and Exchange Commission (SEC) recently published for comment amendments to Rule 10b-10 and a proposed new rule, Rule 15c2-13, under the Securities Exchange Act of 1934. The proposed amendments
