Simplified Arbitrations
The simplified arbitration rules apply to arbitrations involving $50,000 or less, exclusive of interest and expenses.
Expedited Proceedings for Seniors & Seriously Ill Parties
Dispute Resolution may expedite arbitration proceedings in matters involving seniors or seriously ill parties.
Expungement
Brokers may seek to have a reference to allegations or involvement
Robert A. Renner is Senior Vice President, Enterprise & Financial Solutions. In this capacity, he is responsible for overall direction and oversight of FINRA’s accounting operations functions, including Revenue Management, Corporate Tax, Procurement and Payroll, as well as Corporate Real Estate, Physical Security and Information Operations, encompassing fingerprinting, entitlement and
Regulatory Notice 13-10 announced the SEC’s approval, pursuant to FINRA Rule 4524, of the Derivatives and Other Off-Balance Sheet Items Schedule (OBS) as a supplement to the FOCUS report. At the time of its adoption, the OBS required all firms that carry customer accounts or self-clear or clear transactions for others (collectively, “carrying or clearing firms”) to file with FINRA the
Regulation is a fundamental pillar of the financial services industry, ensuring investor protection and market integrity. As financial services firms seek to comply with regulatory requirements, they are turning to new and innovative regulatory technology (RegTech) tools to assist them in effectively and efficiently meeting their obligations. While RegTech tools may help strengthen firms’
Both firms and individuals must be registered with FINRA to conduct securities transactions and business with the investing public. Firms must meet certain membership standards to attain registration. Learn more about what it means to be regulated by FINRA.To become registered, securities professionals are required to pass qualification exams to demonstrate competence in their particular
As Senior Vice President – Strategic Regulatory Engagement, Alex Ellenberg is responsible for providing guidance, counsel and analysis to the leadership team and various Market Regulation and Transparency Services (MRTS) groups regarding a wide variety of strategic, operational, regulatory, risk and compliance functions and activities. He also supports and provides strategic risk analysis to the
In regards for comments on 21-19 regarding short positions, here are my thoughts. * Every share should be tracked with unique identifier and should have the ability to be marked as lent out, unassigned/free, owned-lendable, or owned-not-lendable and be registered with a single central database to prevent duplication/ falsification of data. The ability to mark a share as owned-not-lendable shall
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved amendments to the Interpretation of the Board of Governors — Forwarding of Proxy and Other Materials, Article III, Section 1 of the NASD Rules of Fair Practice
(a) No member shall accept an order from a customer, including foreign customers and/or broker-dealers trading with or through the member, for eligible transactions of such customers that settle in the United States, pursuant to an arrangement whereby payment for securities purchased or delivery of securities sold is to be made to or by an agent of the customer unless all of the following
I am deeply disturbed by the proposed regulation limiting access to leveraged and inverse ETFs (which are publicly-traded securities) to those with high net worth who pass a specialized regulatory exam and then jump through a series of administrative and timing-related hoops.
Leveraged and inverse ETFs are one of the few methods that the little guy has in order to protect his or her investments
