(a) The panel will decide what evidence to admit. The panel is not required to follow state or federal rules of evidence.
(b) Production of documents in discovery does not create a presumption that the documents are admissible at the hearing. A party may state objections to the introduction of any document as evidence at the hearing to the same extent that any other objection may be raised in
(a) Unless the parties agree otherwise, the submission of a matter for mediation will not stay or otherwise delay the arbitration of a matter pending at FINRA. If all parties agree to stay an arbitration in order to mediate the matter, the arbitration will be stayed, notwithstanding any provision to the contrary in this Code or any other rule.
(b) If mediation is conducted through FINRA
(a) The panel will decide what evidence to admit. The panel is not required to follow state or federal rules of evidence.
(b) Production of documents in discovery does not create a presumption that the documents are admissible at the hearing. A party may state objections to the introduction of any document as evidence at the hearing to the same extent that any other objection may be raised in
Every member shall use reasonable diligence, in regard to the opening and maintenance of every account, to know (and retain) the essential facts concerning every customer and concerning the authority of each person acting on behalf of such customer.• • • Supplementary Material: --------------.01 Essential Facts. For purposes of this Rule, facts "essential" to
NASDR has filed with the SEC a proposed rule change to Section 13 of Schedule A of the by-laws of the NASD to change the fee rates relative to the review of advertising.
SUGGESTED ROUTING
Senior Management
Advertising
Internal Audit
Legal & Compliance
Mutual Fund
Training
Executive Summary
This Notice reminds National Association of Securities Dealers, Inc. (NASD®) members of their obligation to ensure that discussions concerning fees and expenses in mutual fund advertisements and sales literature as defined in NASD Rule 2210(a) are
October 18, 2001Mr. William E. FloriaPresidentHouse of Securities Company12 West Church StreetFrederick, MD 21701Re: Exemption Request from Fidelity Bonding RequirementsDear Mr. Floria:This is in response to your September 6, 2001 letter, in which you request that House of Securities Company (the “Firm”) be exempt from the annual review and adjustment requirements of NASD Rule 3020(c)(1) because
To conduct securities transactions and business with the investing public in the United States, both firms and individuals must be registered with FINRA. Firms must apply and meet certain membership standards to become a FINRA-registered broker-dealer.FINRA asks that would-be Applicants take time to review and understand all FINRA’s substantive and procedural requirements prior to applying. These
NASD has filed with the SEC a proposed rule change to require members to review and, if necessary, update their executive representative designation and contact information on a quarterly basis.
Proposed Rule Change to Clarify the Classification and Reporting of Certain Securities to FINRA
