(a) Notice of Suspension, Cancellation or Bar
If a member, person associated with a member or person subject to FINRA's jurisdiction fails to pay any fees, dues, assessment or other charge required to be paid under the FINRA By-Laws or rules, or to submit a required report or information related to such payment, FINRA staff may issue a written notice to such member or person stating
The Firm Short Positions and Fails-to-Receive in Municipal Securities section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
The NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc., has filed with the SEC a proposed rule change to amend the Code of Arbitration Procedure ("Code") to simplify or clarify several fee-related provisions of the Code.
This rule is not in line with capital investment
Very against this proposed rule
Stop these stupid rules now!!!!
The Neutral Corner - Volume 2—2023
Please leave rules alone,
I'm with passing this rule to improve the transparency of the stock market.
I strongly appose any such rules!
