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Notice to Members 03-41
INFORMATIONAL Fingerprint Processing Fees Implementation Date: July 15, 2003 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Registered Representatives Senior Management Fingerprint Processing Fees NASD By-Laws Executive Summary This Notice supersedes NASD Notice to Members 03-39. NASD is issuing this Notice to
Getting to Know the Servicemembers Civil Relief Act (SCRA)
SCRA offers a variety of provisions to help active duty personnel meet their legal and financial obligations. But relief under the SCRA is not always automatic.
Notice to Members 02-70
INFORMATIONAL Continuing Education SUGGESTED ROUTING KEY TOPICS Continuing Education Legal & Compliance Registration Senior Management Continuing Education Firm Element Executive Summary The Securities
Brian Chaudhry Comment On Regulatory Notice 21-19
I support this regulation as a step towards decreasing the systemic risk and opportunities for market manipulation created by the current, insufficient standards for reporting short position activity.
Regulatory Notice 17-01
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
The Neutral Corner - Volume 2—2020
The Neutral Corner—Volume 2, 2020 Mission Statement FINRA Arbitrators Successfully Conduct Virtual Hearings (by Nora Sassounian, Case Administrator, FINRA West Regional Office) Anatomy of a Zoom Videoconference Mediation (by E. Scott Douglas, FINRA Mediator) FINRA Dispute Resolution Services and FINRA News Name Change to FINRA Dispute Resolution Services COVID-19 Hearing Postponements and
Regulatory Notice 15-40
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2016
Anonymous-T Comment On Regulatory Notice 21-19
Close dark pools and cancel shorting stocks it is unfair to retail investors and the companies that are going out of business. This system is rigged and unfair to the investors and workers
Thomas Chelly Comment On Regulatory Notice 21-19
Hedge fund companies illegally naking shorting of AMC stock is making a mockery of our economic system. You need to restore order.
FINRA Announces New “FINRA Forward” Initiatives to Support Members, Markets and Investors
WASHINGTON—FINRA announced today the launch of FINRA Forward, a series of initiatives to improve its effectiveness and efficiency in pursuing its mission. The Three FINRA Forward initiatives:Modernizing FINRA Rules. FINRA is conducting a broad review of its rules to modernize requirements, facilitate innovation and eliminate unnecessary burdens.  Empowering Member Firm