(a) This rule provides procedures under which parties and arbitrators may communicate directly.
(b) Only parties that are represented by counsel may use direct communication under this rule. If, during the proceeding, a party chooses to appear without counsel, this rule shall no longer apply.
(c) All arbitrators and all parties must agree to the use of direct communication during the
(a) This rule provides procedures under which parties and arbitrators may communicate directly.
(b) Only parties that are represented by counsel may use direct communication under this rule. If, during the proceeding, a party chooses to appear without counsel, this rule shall no longer apply.
(c) All arbitrators and all parties must agree to the use of direct communication during the Initial
FINRA staff provide an overview of SEC Rule 15b9-1, the application process, licensing and reporting requirements, and surveillance and oversight post-application approval for firms affected by the adopted amendments.
Recordings of sessions are available to FINRA member firms and CRCP graduates. View the recorded sessions from the 2021 FINRA Annual Conference and receive access to all conference materials. View the online brochure for a list of sessions and their descriptions.
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FINRA Member Firms
CRCP Graduates
For registration or technical
Proposed Rule Change to Adopt FINRA Rules 6434, 6437, 6450 and 6460
Proposed Rule Change to Adopt the Selection Specifications and Study Outline for the Limited Representative – Investment Banking (“Series 79”) Examination Program
This proposed rule is not necessary or needed. You have no right to tell me what or how to invest my money. Nor do you have the right to quiz me or challenge my investments.
I oppose these restrictions. I must sign an annual agreement with Schwab that I understand the risks of ETFs. The ETFs are part of my investment strategy. There are enough rules and regulations today, we do not need any more.
All applications shall be considered by a Hearing Officer (as defined in Rule 9120(r)) appointed by the Chief Hearing Officer (as defined in Rule 9120(b)). Unless otherwise specified in FINRA rules, the applicant shall be entitled to be heard in person or telephonically and by counsel and to submit any relevant matter. In any such proceeding a record shall be kept.
Amended by SR-FINRA-
(a) All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to FINRA Rule 1014 and IM-1014-1.
(b) In reviewing an application for membership as a capital acquisition broker, the Department shall consider, in addition to the standards for admission set forth in FINRA Rule 1014, whether the applicant's proposed activities are
