I strongly oppose this rule #S7-24-15 because its fundamentally wrong to try to create one system for high net worth individuals and the rest of the American populace. I urge you to block this proposal by the SEC.
How long do I have to file an arbitration? Is there a statute of limitations?How do I file a Statement of Claim?Where do I file my Statement of Claim?Who will serve the Statement of Claim?How do I serve and file a Statement of Answer?Can I obtain an extension of time to serve and file a Statement of Answer?How do I serve and file counterclaims and cross-claims?How do I serve and file third-party
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperations
Executive Summary
On June 11, 1993, the Securities and Exchange Commission (SEC) approved a new Section 11 of the Uniform Practice Code (UPC) requiring book-entry settlement of transactions in depository-eligible securities effected between member firms and between member firms and certain of their customers.
Proposed Rule Change to Amend Rules 12403 and 12404 of the Customer Code of Arbitration Procedure and Rules 13403 and 13404 of the Industry Code of Arbitration Procedure
Proposed Rule Change Relating to the Trade Reporting Facility Limited Liability Company Agreements
How do I entitle someone to access an eFOCUS report?
Where are eFOCUS filings located in the redesigned FINRA Gateway?
How do I transmit an eFOCUS filing to my clearing firm?
When are my eFOCUS filings due?
Where can I see previously filed eFOCUS reports?
How do I amend a submitted eFOCUS report?
How do I print an eFOCUS report?
We are a newly registered member firm and when I
I absolutely do not support the one day hold rule for leveraged complex products. There are viable leveraged strategies that are far more simple and efficient for retail investors that require holding these products for much longer
Direct Purchases and Bank Loans as Alternatives to Public Financing in the Municipal Securities Market
The Series 57 exam — the Securities Trader Representative Exam — assesses the competency of an entry-level registered representative to perform their job as a securities trader representative.
Proposed Rule Change to Amend the By-Laws of FINRA Dispute Resolution
