Unless otherwise defined in the Code, terms used in the Code and interpretive material, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws.
(a) Arbitrator and Mediator Portal
The term "Arbitrator and Mediator Portal" means the web-based system that allows invited arbitrators and mediators to access a secure section of FINRA's website to submit
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NASDR has filed with the SEC a proposed rule change to amend Rules 9120 and 9211 of the NASD to provide for the Office of Disciplinary Affairs of NASD Regulation to authorize all disciplinary actions.
GUIDANCE
District Elections
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to inform
Summary
In February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB). The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board (MSRB). Each member firm’s
Testimony Before the Subcommittee on Oversight and Investigations
Testimony of Stephen Luparello, Vice Chairman of FINRA Before the Committee on Agriculture
LockBit, one of the most deployed ransomware variants in recent years, continues to impact organizations across the globe, including FINRA member firms. Since November of 2023, FINRA has received reports from several member firms related to cyber incidents allegedly perpetrated by LockBit. The reported incidents varied in severity from no impact to significant disruptions in firms’ business operations. As a result, the Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision Program is notifying firms of the increased activity of this threat actor to heighten awareness and visibility of this risk. CAU is also providing a compilation of resources that outline effective practices firms may consider in response to this elevated risk.
2014 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
FINRA is issuing this Notice to help firms review, reconcile and respond to their Final Renewal Statements and reports that are currently available on Web CRD and IARD for the 2008 registration renewal process. Questions concerning this Notice should be directed to the FINRA Gateway Call Center at (301) 869-6699.
