On October 23, 2023, FINRA announced the Regional Committee election. Firms in Districts with contested elections (Districts 2, 3, 4, 6, 7, 8, 9 and 10) will receive ballots via email from [email protected] to vote in this election (hard copy ballots will also be mailed to these firms). Voting concludes on November 22, 2023, and the newly elected Regional Committee members will take
(a) Application of FINRA Rule 12000 Series (Code of Arbitration Procedure for Customer Disputes), FINRA Rule 13000 Series (Code of Arbitration Procedure for Industry Disputes) and FINRA Rule 14000 Series (Code of Mediation Procedure) to Funding Portals
All funding portal members shall be subject to the FINRA Rule 12000 Series, FINRA Rule 13000 Series and FINRA Rule 14000 Series, unless the
(a) Procedures for Reviewing TransactionsAn Executive Vice President of FINRA's Market Regulation Department or Transparency Services Department, or any officer designated by such Executive Vice President, may, on his or her own motion, review any transaction involving an OTC Equity Security arising out of or reported through a trade reporting system owned or operated by FINRA or FINRA
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FINRA Provides Guidance on Pandemic Preparedness
SEC Approves New FINRA Rule 5122 Relating to Private Placements of Securities Issued by a Member Firm or a Control Entity
I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members And Interested Persons
LAST VOTING DATE IS NOVEMBER 21, 1983
Attached are amended By-Laws of the Association which are being submitted to the membership for a vote. The proposal is the product of the Association's Committee on Rule and By-Law Amendments which is reviewing and revising all of the Association's By-
Remarks by Richard Ketchum From the SIFMA C&L New York Regional Seminar
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
On May 28, 1993, the Securities and Exchange Commission (SEC) approved amendments to Article II, Section 10 of the NASD® Code of Procedure (Code) to provide for a Minor Rule Violations Plan (Plan). The Plan will permit the NASD to dispose of certain minor rule violations expeditiously and to report the
Summary
FINRA Rule 4210 (Margin Requirements) prescribes requirements governing the extension of credit by members. The FINRA Rule 4210 interpretations provide further guidance regarding application of the rule. This Notice announces, effective immediately, clarifications of interpretations of (1) FINRA Rule 4210(e)(8), which specifies margin requirements for control and restricted securities,
