(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
(a) FINRA will pass through any penalties incurred under the National Market System data plans and allocate them accordingly to the ADF Trading Center that exceeds its projected message traffic. Each ADF Trading Center will be invoiced for any penalties that may occur.
(b) In assessing capacity penalties incurred under the National Market System Plans:
(1) FINRA will use the metrics of the
Background
FINRA is pleased to announce a new centralized, secure file transfer platform called fileX, which enables firms to programmatically send, track and receive files in one place. fileX significantly streamlines the process for submitting bulk filings to FINRA, provides additional options for downloading files from FINRA, and allows for seamless and secure authentication and authorization
(a) No member shall execute or cause to be executed or participate in an account for which there are executed purchases of any NMS stock as defined in Rule 600(b) of SEC Regulation NMS ("designated security") at successively higher prices, or sales of any such security at successively lower prices, for the purpose of creating or inducing a false, misleading or artificial appearance of
Arbitrators are the triers of fact in FINRA arbitrations and they have great authority and wide latitude to decide matters as they see fit. Arbitrators must be, and appear to be, ethical, unbiased and neutral. In this section, you will find the resources and guidelines to achieve these goals.On This PageCode of Ethics for ArbitratorsDisclosure RequirementsDisqualification Criteria10 Best
REQUEST FOR COMMENTBranch Office RegistrationComment Period Expired September 3, 2004SUGGESTED ROUTINGKEY TOPICSLegal and ComplianceRegistered Representatives RegistrationSenior ManagementBranch Office RegistrationCentral Registration Depository (CRD?)Executive SummaryNASD requests comment on a proposed uniform branch office registration form (Form BR) that will enable firms to register
SEC Approval and Effective Date for New Consolidated FINRA Rules
Proposed Consolidated FINRA Rules Governing Suitability and Know-Your-Customer Obligations
Testimony by Senior Vice President of Investor Education and President of the FINRA Investor Education Foundation Gerri Walsh Before the Senate Special Committee on Aging
