To gain access to the FLEX dashboard within FINRA Gateway for the first time to subscribe to FLEX, please contact your firm’s Super Account Administrator (SAA). The Accessing FLEX on FINRA Gateway Quick Reference Guide provides additional instructions if needed.Once granted access to the dashboard, the Firm CE Admin can take the following actions. For further instructions, please view the
(a) FINRA will pass through any penalties incurred under the National Market System data plans and allocate them accordingly to the ADF Trading Center that exceeds its projected message traffic. Each ADF Trading Center will be invoiced for any penalties that may occur.
(b) In assessing capacity penalties incurred under the National Market System Plans:
(1) FINRA will use the metrics of the
(a) Normal Ex-Interest DatesAll transactions, except "cash" transactions, in bonds or similar evidences of indebtedness which are traded "flat" shall be "ex-interest" as prescribed by the following provisions:(1) On the record date if the record date falls on a business day.(2) On the first business day preceding the record date if the record date falls on a day
(a) Complaint
(1) If the Department of Enforcement believes that any FINRA member or associated person is violating or has violated any rule, regulation, or statutory provision, including the federal securities laws and the regulations thereunder, which FINRA has jurisdiction to enforce, the Department of Enforcement may request authorization from the Office of Disciplinary Affairs to
(a) General Requirements
Following the issuance of a complaint in a disciplinary proceeding, or the initiation of another proceeding, every filing of a Party represented by counsel or a representative shall be signed by at least one counsel or representative of record in his or her name and shall state the business address and telephone number of such counsel or representative. A Party
Dispute Resolution Services invites you to take advantage of significantly reduced mediation prices during FINRA Mediation Settlement Month. To participate in this program, Parties must have entered into a mediation agreement by October 31 and conducted the mediation by December 31.The SavingsFINRA participating mediators will offer the following rates for mediation sessions, to be
GUIDANCE
Discovery-Related Motions
Effective Date: September 26, 2005
SUGGESTED OUTING
KEY TOPICS
Legal & Compliance
Discovery-Related Motions
Dispute Resolution
Executive Summary
The Securities and Exchange Commission (SEC) has approved an amendment to Interpretive Material (IM) 10104 of the NASD Code of Arbitration Procedure (Code)
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
The Department of Treasury (Treasury) recently asked the NASD to provide members with the Office of Foreign Assets Control's (OFAC) latest list of persons and entities
RE: Comment on FINRA Regulatory Notice 25-05: Outside Activities RequirementsTo Whom It May Concern:We appreciate the opportunity to comment on FINRA Regulatory Notice 25-05, which proposes a new rule to streamline and reduce unnecessary burdens regarding existing requirements addressing the outside activities of member firms' associated persons. As a FINRA member firm with registered
On December 8, 2016, FINRA filed with the SEC a proposed rule change for immediate effectiveness relating to Rule 4554 reporting requirements for Alternative Trading Systems (“ATSs”). Specifically, FINRA amended Rule 4554 to require ATSs to provide additional order sequencing information on reports submitted to the Order Audit Trail System (“OATS”).
Rule 4554(b) originally
