The Neutral Corner—Volume 4, 2020
Mission Statement
Year End Message
Court Upholds Panel’s Authority to Order a Virtual Arbitration Hearing (by Brianna Akerley, Case Administrator, FINRA Dispute Resolution Services, Midwest Region)
Virtual Arbitration: Best Practices for COVID Times and Beyond (by Dan Zailskas, Case Administrator, FINRA Dispute Resolution Services, Southeast Region)
FINRA
In 2002, FINRA Dispute Resolution became concerned about the length of time it takes to resolve arbitrations involving senior or seriously ill parties.
The Best Execution, Outside Business Activities and Private Securities Transactions, Private Placements, and Reg BI and Form CRS sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The SEC recently adopted Rule 15c2-6, which is effective January 1, 1990. It imposes sales-practice requirements on broker-dealers that recommend transactions in certain low-priced, non-NASDAQ over-the-counter
March 24, 2008
Dear FINRA Member:
We are writing to highlight new and existing areas that are of particular significance to FINRA's examination program for 2008. We hope you find valuable insights into some of the most important topics regarding FINRA examinations, and that it helps you assess your firm's compliance and supervisory programs.
One change to the examination program that
Remarks by Chairman and CEO Rick Ketchum at the IRI Government, Legal and Regulatory Conference
FINRA's Advertising Regulation Conference offers a comprehensive agenda designed for new and experienced advertising professionals. Industry and Regulatory speakers will facilitate interactive, forward-looking discussions on current practices, policies, priorities and emerging regulation. This year’s conference also includes opportunities to networking with industry peers and meet one-on-
On October 24, 2022, the Election Notice and ballots to elect Regional Committee members in contested elections were mailed to executive representatives of FINRA member firms in Districts 4, 8 and 9 (these Districts were the only contested elections). Ballots must be returned no later than November 23, 2022. Newly elected committee members will take office in January 2023. Ballots were not mailed
(a) Complaint
(1) If the Department of Enforcement believes that any FINRA member or associated person is violating or has violated any rule, regulation, or statutory provision, including the federal securities laws and the regulations thereunder, which FINRA has jurisdiction to enforce, the Department of Enforcement may request authorization from the Office of Disciplinary Affairs to
(a) General Requirements
Following the issuance of a complaint in a disciplinary proceeding, or the initiation of another proceeding, every filing of a Party represented by counsel or a representative shall be signed by at least one counsel or representative of record in his or her name and shall state the business address and telephone number of such counsel or representative. A Party
