(a) Party Portal
(1) Parties must use the Party Portal to file initial statements of claim and to file and serve pleadings and any other documents on the Director or any other party except as provided in paragraphs (a)(2) and (a)(3). The Director may exercise authority to permit the use of other means of filing or service in the case of an extended Party Portal outage or in other
(a) Before Panel Appointment
Except as provided in paragraph (c), a party may amend a pleading at any time before the panel has been appointed. Panel appointment occurs when the Director sends notice to the parties of the names of the arbitrators on the panel.
(1) To amend a statement of claim that has been filed but not yet served by the Director, the claimant must file the amended claim with
The Annuities Securities Products topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
Amendments to NASD Rule 2711 to Prohibit Participation by Research Analysts in Road Shows
Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
Proposed Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
<p>NASD Rule 2460 - Payments for Market Making</p>Services rendered in acting as a Designated Advisor for Disclosure (DAD) for Pink Sheets’ new OTCQX listing may fall within the exception of Rule 2460(b), which permits a member to accept payment for bona fide services; however, this conclusion will depend upon the specific payments made and services that ultimately are rendered.
Proposed Fees for the Trade Reporting and Compliance Engine ("TRACE") for Corporate Bonds
INFORMATIONAL
Dispute Resolution
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Arbitration/Mediation
Dispute Resolution Regional Offices
Executive Summary
On March 4, 2002, the NASD Dispute Resolution, Inc. (NASD DR) Western Region will consolidate its San Francisco and Los Angeles Regional Offices into one Regional Office in Los
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to add new Rule 6630 to require members to record and maintain their quotations displayed in certain automated, inter-dealer quotation systems, such as the Electronic Pink Sheets, and to report such data to NASD Regulation upon request.
