On May 12, 2014 FINRA filed for immediate effectiveness SR-FINRA-2014-024 with the Securities and Exchange Commission ("SEC").
#22-08 is an abomination to the powerless who've been playing Fairly by the same rules we had no hand in devoping in the first place. Please dont confirm, whats been suspected as a fixed game already, I reject #22-08 an you should too! Thank you!
(a) Initiation by FINRA
(1) Issuance of Notice of Disqualification or Ineligibility
If FINRA staff has reason to believe that a disqualification exists or that a member or person associated with a member otherwise fails to meet the eligibility requirements of FINRA, FINRA staff shall issue a written notice to the member. The notice shall specify the grounds for such disqualification or
SR-FINRA-2008-051 - Proposed Rule Change to Amend Rules 12214, 12514 and 12904 of the Code of Arbitration Procedure for Customer Disputes and Rules 13214, 13514 and 13904 of the Code of Arbitration Procedure for Industry Disputes to Require Arbitrators to Provide an Explained Decision upon the Joint Request of the Parties
We want T-0 settlement. We want transparency. We want jail time and not fines for breaking rules. We want a fair stock market.
FINRA Provides a Process for Waiving CMA Fees for Less Significant CMA Changes and Refunding of NMA and CMA Fees for Applications Withdrawn Within 30 Days After Filing
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 2520 and 2522 that will revise the margin requirements to (1) recognize specific additional complex option spread strategies for purposes of determining required margin and (2) amend the provisions relating to "permitted offsets" for certain
Increased Margin Requirements for Leveraged Exchange-Traded Funds and Associated Uncovered Options
Proposed Rule Change to Amend the By-Laws of FINRA Regulation to Realign the Representation of Industry Members on the National Adjudicatory Council to Follow More Closely the Categories of Industry Representation on the FINRA Board
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Training
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to Article III, Section 21 of the NASD Rules of
