FINRA Dispute Resolution strives to be the preeminent provider of securities related dispute resolution services. Such a goal is only possible when talented, dedicated arbitrators and mediators aid in the process.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
The Best Execution Outside-of-the-Inside (BE) report card is a monthly status report detailing the number of transactions reported to a FINRA Facility (i.e., a FINRA Trade Reporting Facility or FINRA's Alternative Display Facility) in which your firm participated that were executed Outside-of-the-Inside market in apparent violation of the Best Execution Rule. If non-compliance with the Best
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Executive Summary
On September 28, 1995, the Securities and Exchange Commission (SEC) approved proposed changes to NASD® rules governing index, currency, and currency index warrants. The amended rules:
revise the listing criteria for stock index warrants;
specify the customer margin
Frequently asked questions related to OATS reporting requirements to OTC NMS Stocks.
ACTION REQUIRED
PORTAL-Designated Equity Securities Directory
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Executive Summary
Nasdaq® is publishing a list of PORTAL®-designated equity securities for the reporting requirements of PORTAL equity transactions that will be effective on June 16, 2001.
On March
Monthly Disciplinary Actions October 2017
REQUEST FOR COMMENT
Best Execution
Comment Period Expires on: August 9, 2002
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Executive Summary
NASD requests comment from members, investors, and other interested parties on proposed amendments to NASD Rule 2320(a) (
ACTION REQUESTED
Rule Modernization Project
Response Period Expires on: March 1, 2002
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