FINRA, its employees, and any mediator named to mediate a matter under the Code shall not be liable for any act or omission in connection with a mediation administered under the Code.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Renumbered from Rule 14107 by SR-NASD-2006-109 eff. Dec. 24, 2007.
Renumbered from Rule 10408 and amended by SR-NASD-2007-022 eff. April 16,
The provisions of Rule 2220 shall be applicable to communications to customers regarding index warrants, currency index warrants, or currency warrants. The term "option" as used therein shall be deemed to include such warrants for purposes of this Rule and the term "The Options Clearing Corporation" shall be deemed to mean the issuer of such warrants.
Amended by
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Section 4(c) of Schedule A to the FINRA By-Laws to establish an administration and delivery fee for the new Municipal Advisor Principal Examination (“Series 54 examination”).
FINRA Requests Comment on Proposed Amendments to Rules Governing Communications with the Public
SUGGESTED ROUTING*
Senior Management
Institutional
Legal & Compliance
Trading
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
To improve disclosure of broker-dealer compensation for order flow and to make the
Proposed Rule Change to Amend FINRA Rule Series 9100, 9200, 9300, 9550, and 9800 Regarding Temporary and Permanent Cease and Desist Orders
As announced by The Options Clearing Corporation (OCC) and the national options exchanges, due to the National Day of Mourning on January 9, 2025, the Contrary Exercise Advice (CEA, also known as “Expiring Exercise Declaration” or EED) cut-off time for options that expire on January 9, 2025, will be modified as follows:Option holders will have until 10:00 a.m. Eastern Time (ET) on January 9, 2025
JOINT REQUEST FOR COMMENT
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Training
Correspondence—General
Electronic Communications
Rule 2210 (Communications with the Public)
Rule 2211 (Institutional Sales Material and Correspondence)
Rule 3010 (Supervision) Supervision
I am a novice retail investor and learning more each day. Here are a few remarks: 1. If naked or synthetic short is illegal, why allow it to happen? A company that issued 30 million shares should not be trading 100 million shares. 2. Rule breakers should pay fine to security agencies (SEC, FINRA, NTCC, etc.), compensate clients, and be restricted from trading certain stocks for a period of time.
Proposed Rule Change to Amend Rule 2210 (Communications with the Public) to Require Hyperlink to BrokerCheck on Member Websites
