That is a bad rule. investors should reject this
The proposed rule is an over reach and unnecessary.
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTradingTraining
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The SEC has approved new Section 43 to Article III of the NASD Rules of Fair Practice. The new section prohibits all persons associated with a member in any registered capacity from accepting employment or
The Neutral Corner - Volume 1—2018
Mission Statement
An Introduction to FINRA’s National Arbitration and Mediation Committee (By Steven B. Caruso and Darya Geetter)
Office of Dispute Resolution and FINRA News
Case Filings and Trends
DR Portal News and Q&As
NYC Bar Securities Arbitration & Mediation: Hot Topics 2018 (May 15, 2018)
American
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to make permanent FINRA Rules 6190 (Compliance with Regulation NMS Plan to Address Extraordinary Market Volatility) and 6121.01 (Resumption of Trading in Securities Subject to the Regulation NMS Plan to Address Extraordinary Market Volatility
Executive Summary
The NAC has revised the principal considerations in the Sanction Guidelines to expressly contemplate a customer’s age or physical or mental impairment that renders the individual unable to protect his or her own interests.
The revised Sanction Guidelines are effective immediately and available on FINRA’s website.
Questions concerning this Notice should be directed to:
Alan
FINRA Provides Guidance Concerning the Types of Securities Transactions Subject to the Regulatory Transaction Fee
FINRA Requests Comment on a Proposal to Disseminate Additional Securitized Products and to Reduce the Reporting Time Frame for These Products
The FINRA Board of Governors will consider the following rulemaking items at its September 2011 meeting.
SEC Approves Amendments to Codes of Arbitration Procedure to Require Redaction of Personal Confidential Information from Documents Filed With FINRA Dispute Resolution
