Frequently Asked Questions (FAQs) about RSL designations, including, among others, reporting and compliance, conditions and recordkeeping.
Answers in Arbitration
Effective Date: October 14, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Answers
Arbitration
Dispute Resolution
Executive Summary
The Securities and Exchange Commission (SEC or Commission) has approved amendments to Rule 10314 of the NASD Code of Arbitration Procedure (Code) governing Initiation of Proceedings.1 The amendments
Hear how to navigate current developments in FINRA’s communications rules and industry marketing practices including mobile apps, social media, and other digital channels. Panelists answer questions on how to embrace the future of communications while remaining compliant.
INFORMATIONAL
Release of Disciplinary Information
Implementation Date: September 1, 2002
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KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
IM-8310-2
Release of Disciplinary Information to the Public
Executive Summary
NASD has adopted amendments to NASD Interpretative Material 8310-2 (IM-8310-2), concerning the
Proposed Rule Change to Extend the Clearly Erroneous Pilot Program for Exchange-Listed Securities
This is absolutely ridiculous.PDT rules create undo burden and increase the level of risk and loss associated with trading. Having a required $25,000 minimum was an already ridiculous standard, increasing that to $100,000 would be absurd. This is the type of wealth discrimination that allows for the rich to prosper at the exact expense of the average person.When breaking news occurs and a stock
Amendments to Mediation Code to Provide the Mediation Director With Discretion to Determine Whether Parties to a FINRA Mediation May Select a Mediator Who Is Not on FINRA’s Mediator Roster
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., is filing with the SEC a proposed rule change to amend NASD Rule 2520 to impose overall more stringent margin requirements for day-trading customers. The proposed rule change would:
Revise the definition of "pattern day trader" to include any customer who (a) the firm knows or has a reasonable basis to believe will
<p>Application of Rules 3030 and 3040 to associated persons who receive commissions for brokering viatical settlement contracts.</p>
The Consolidated Audit Trail (CAT) section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
