INFORMATIONAL
Rules For Arbitrator Challenges
Effective Date: February 12, 2001
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Arbitration
Arbitrator Challenges
Executive Summary
On
The FINRA Midwest Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the Midwest Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The forum also includes thoughtful discussions around the future landscape of the financial services industry, and provides
FINRA encourages comments on this paper, including areas where FINRA may:offer guidance or modifications to its rules to address the adoption of quantum computing;foster greater crypto agility within firms to prepare for post-quantum cryptography; andseek to prepare for a quantum future while maintaining investor protection and market integrity.FINRA also seeks input from financial industry
(a) As soon as practicable after the Department of Enforcement files a copy of the notice initiating a TCDO Proceeding or a PCDO Proceeding with the Office of Hearing Officers, the Chief Hearing Officer shall assign a Hearing Officer to preside over the proceeding. The Chief Hearing Officer shall appoint two Panelists to serve on a Hearing Panel with the Hearing Officer. Each Panelist shall
FINRA Provides Guidance on Communications With the Public Concerning Unlisted Real Estate Investment Programs
Registration Code Classifications
Remarks from the Bond Dealers Association Annual Conference
In relationship investment scams, fraudsters often hide their true identities, reach out to unsuspecting targets (often online or through text messages), gain their trust over time, and then defraud them through fake investments. These scams are sometimes referred to by terms including romance scams, “cryptocurrency” investment scams, financial grooming scams, and “pig butchering scams.” Learn more about these scams and red flags to watch for.
February 20, 2015
Mr. Gregory J. Nowak
Pepper Hamilton LLP
3000 Two Logan Square
Eighteenth and Arch Streets
Philadelphia, PA 19103-2799
Re: FINRA Rule 5130 - Restrictions on the Purchase and Sale of Initial Equity Public Offerings
Dear Mr. Nowak:
This is in response to your letter dated December 3, 2014, in which you request interpretive guidance on behalf of PCV Lux, SCA ("PCV
