(a) Contents of the Record, Retention
The record shall consist of:
(1) the complaint, answers, each notice of hearing, pre-hearing order, and any amendments thereto;
(2) each application, motion, submission, and other paper, and any amendments, motions, objections, and exceptions to or regarding them;
(3) each transcript of a pre-hearing conference and of a hearing, and each
This rule is no longer applicable. NASD Rule 1010 Series has been superseded by FINRA Rule 1000 Series. Please consult the appropriate FINRA Rule.
(a) Call For Review By Governor
A Governor may call a membership proceeding for review by the FINRA Board if the call for review is made within the period prescribed in paragraph (b).
(b) 15 Day Period; Waiver
A Governor shall make his or her call
Optional One-Day Extension for Customer and PAB Reserve Formula Computations and Required Deposits Around the December 2018 Month-End Holidays
<p>NASD Rule 2711 - Research Analysts and Research Reports</p>
Beginning June 26, 2008, all applicants for FINRA membership must use the revised online Form NMA and comply with NASD Rule 1013 (New Member Application and Interview) as amended.
It is more than obvious that several agencies are not complying with the rules for naked shorts and FTD's. Retail investors should have the same real time information as hedge funds to include short interest and real time trading.
The FINRA Board of Governors will consider the following rulemaking items at its April 2011 meeting. After the April 14 meeting, FINRA will notify firms via email about the Board's actions on these items and anticipated next steps, if any.
Request to ban naked short selling and to implement rules that curb it (e.g., T-0). Increase transparency of market makers. Follow in other countries' footsteps in bringing criminal charges and impactful fines ($1B+) against violaters.
Exemptive relief is granted based on: the representation that the individual did not solicit municipal securities business; the contribution being made prior to his employment at the Firm; the Firm's imposition of Firm-wide information barriers on certain municipal securities business communications: for a specified period, prohibition of the solicitation of new municipal securities business by the individual; and the commitment to a quarterly certification of compliance.
The Variable Annuities 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.
