This proposed rule is not necessary or needed. You have no right to tell me what or how to invest my money. Nor do you have the right to quiz me or challenge my investments.
SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a Per-Arbitrator Fee and Honorarium for Late Cancellation of Prehearing Conferences
The Neutral Corner Volume 3 - 2016
Mission Statement
Bates Numbering: A Best Practice by Gregory Curley and Glenn S. Gitomer
Attorneys Serving as Arbitrators: A Cautionary Tale About Disclosure by Rushelle Bailey, FINRA Corporate Intern
Office of Dispute Resolution and FINRA News
Case Filings and Trends
Robert W. Cook Named FINRA’s President and
The TRACE Reporting section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
SEC Approves Rule Change to Amend the Definition of Public Arbitrator in the Arbitration Codes for Customer and Industry Disputes; Effective June 9, 2008
Proposed Rule Change to Amend the By-Laws of NASD to Implement Governance and Related Changes to Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc.
Summary
FINRA has multiple committees that facilitate effective engagement with its member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection in a manner that promotes vibrant capital markets. The purpose of this Notice is to encourage employees of member firms and other interested
NASD is filing with the Securities and Exchange Commission a proposed rule change to amend NASD Rules 1012 (General Provisions) and 1013 (New Member Application and Interview) to require an applicant for membership to submit an application in the manner prescribed by NASD. Currently, applicants submit the new membership application form (Form NMA) in hard copy; however, NASD will be requiring
Effective July 16, 2007, NASD member firms may designate co-chief executive officers (co-CEOs) and multiple chief compliance officers (co-CCOs) to discharge the requirements of Rule 3013 (Annual Certification of Compliance and Supervisory Processes and accompanying IM-3013.
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Rule 6740
SEC Rule 15c2-11
Executive Summary
NASD is issuing this Special Notice to Members (Special NTM) to advise member firms and other interested
