Proposed Rule Change Relating to Waiver and Credit of Certain FINRA/Nasdaq Trade Reporting Facility and OTC Reporting Facility Fees
(a) General
This Rule 5190 sets forth the notice requirements applicable to all members participating in offerings of securities for purposes of monitoring compliance with the provisions of SEC Regulation M. In addition to the requirements under this Rule 5190, members also must comply with all applicable rules governing the withdrawal of quotations in accordance with SEC Regulation M
Firm Made Misrepresentations to Customers and Violated Reg BI as well as FINRA’s Suitability and Supervision RulesWASHINGTON—FINRA announced today that it has expelled broker-dealer SW Financial for multiple violations, including making misrepresentations to customers in its sales of private placement offerings of pre-initial public offering (pre-IPO) securities, churning customer
Proposed Rule Change Relating to Reporting of Trade Cancellations to FINRA
Proposed Rule Change to Update Certain Rule Cross-References and Make Other Non-Substantive Technical Changes to FINRA and NASD Rules
Proposed Rule Change to Amend Rules 12213 and 13213 of the Customer and Industry Codes to Expand the Criteria for Selecting a Hearing Location for an Arbitration Proceeding
Proposed Rule Change to Increase the Session Fee for the Regulatory Element of the Continuing Education Requirements Pursuant to FINRA Rules
The Neutral Corner—Volume 4, 2019
Mission Statement
Year End Message
Anatomy of a Securities Mediation: What to Expect, How to Prepare and How to Win (by Jeff Abrams, FINRA Arbitrator and Mediator)
Introducing Previously Undisclosed Documents or Witnesses Under FINRA Rule 12514 (by Danielle Williams and Steeve Encaoua, FINRA Office of Dispute Resolution, Southeast Region)
Maintaining
(a) Application - For purposes of this Rule, the term "member" shall be limited to any member of FINRA registered with the SEC pursuant to Section 15C of the Exchange Act that is not designated to another self-regulatory organization by the SEC for financial responsibility pursuant to Section 17 of the Exchange Act and SEA Rule 17d-1.
(b) Each member subject to Section 402.2 of
Proposed Rule Change Relating to the Publication of Certain Daily and Monthly Short Sale Data on the FINRA Web
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