Each Industry Member shall maintain and preserve records of the information required to be recorded under this Rule 6800 Series for the period of time and accessibility specified in SEA Rule 17a-4(b). The records required to be maintained and preserved under this Rule may be immediately produced or reproduced on "micrographic media" as defined in SEA Rule 17a-4(f)(1)(i) or by means
Below are links to the central web sites that provide copies of each of the three NMS Plans in which FINRA participates.
Neutral Corner – Volume 2 – 2018
Mission Statement
Developing an Effective Med-Arb/Arb-Med Process (By Edna Sussman, FINRA Arbitrator and Mediator)
Office of Dispute Resolution and FINRA News
Case Filings and Trends
Portal Reminder
Practising Law Institute (PLI) Securities Arbitration 2018: September 26, 2018
SEC Rule Approval
Special Proceeding for
Minneapolis, MN
September 17, 2019
Agenda
8:30 a.m. – 9:00 a.m.
Registration
Continental Breakfast
9:00 a.m. – 9:15 a.m.
Introduction
Welcome Remarks
9:15 a.m. – 10:45 a.m.
Session 1 – Supervision
Discuss highlights of the consolidated supervision rules
Review the requirements of FINRA Rules 3110, 3120, and 3130
Discuss case studies
10:45 a.m
SEC Extends Arbitration Rules
On September 5, 1997, the Securities and Exchange Commission (SEC) approved a five-year extension of the rules governing large and complex cases in National Association of Securities Dealers, Inc. (NASD®) arbitration—Rule 10334 of the NASD Code of Arbitration Procedure (Code)—to August 1, 2002. In addition to extending the rules for five years, the rule was amended
Please just do your job. All we want is a fair market. These hedge funds break the rules and nothing is done. We need transparency. We need our governing bodies to actually enforce the rules. We need to be protected or everyone near and far is going to pull their money out of the US market.
Hedge funds used obfuscation and blatant disregard for the rules to extract capital from retail. This became blatantly obvious with the manipulation throughout the last year. I am asking for more frequent public reporting of short positions and more detail in public reports. Increased enforcement of the current rules against naked short selling is a given.
(a) General Standards
(1) FINRA shall release to the public a copy of, and at FINRA's discretion information with respect to, any disciplinary complaint or disciplinary decision issued by FINRA, as defined in paragraph (e) of this Rule. FINRA shall, in response to a request, release to the requesting party a copy of any identified disciplinary complaint or disciplinary decision issued by
<p>Applicability of NASD Rule 3030 to an associated person filing a membership application with the NASD to form a new broker/dealer.<br />
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SEC Approves Amendments to Require Firms to Report OTC Transactions in Equity Securities as Soon as Practicable, But No Later Than 10 Seconds, Following Execution
