When you buy or sell stocks, bonds and other types of investments, there are costs associated with doing so. Costs may also come with managing or simply maintaining an investment account. These costs can add up, so it’s important to understand and manage them.
Sec. 1. (a) The Board shall be the governing body of the Corporation and, except as otherwise provided by applicable law, the Restated Certificate of Incorporation, or these By-Laws, shall be vested with all powers necessary for the management and administration of the affairs of the Corporation and the promotion of the Corporation's welfare, objects, and purposes. In the exercise
NASD directed all firms that processed more than a minimal amount of mutual fund transactions using an automated process to conduct a self-assessment of their mutual fund transactions in 2001 and 2002 and the sales discounts provided, and to submit the results to NASD. As of July 30, 2003, the 642 firms listed below submitted assessment results to NASD.
On the Front Lines of Investor Protection
The Discovery Guide is a helpful reference to help you manage expectations regarding documents the other Party might request. FINRA provides the Discovery Guide for customer cases only. This Guide outlines the documents that Parties should exchange without Arbitrator or staff intervention.The Discovery Guide contains two Document Production Lists of presumptively
Any person who wishes to communicate with the Board of Governors, including the Chairperson, any committee of the Board, or any Governors, either individually or as a group, may send correspondence to:
[email protected]
or
FINRA Board of Governors
c/o: Office of the Corporate Secretary
1700 K Street, NW
Washington, DC 20006
The correspondence should indicate for
This rule is no longer applicable. Incorporated NYSE Rule Interpretations have been superseded by Temporary Dual FINRA-NYSE member Rule Series. Please consult the appropriate FINRA Rule.
/01 Automatic Money Market Fund Redemptions
Member organizations that establish an automatic money market fund redemption program for customers having both a securities and money fund account, wherein the
FINRA’s Corporate Internship Program—a paid 12-week program—offers practical “hands-on” experience with the largest self-regulatory organization for securities firms doing business in the United States. Our program offers interns opportunities to build their careers—and supplement what they’ve learned in the classroom—by meeting and working with employees throughout our organization.Our program
(a) Filing Claim with the Director
To initiate an arbitration, a claimant must file the following with the Director:
(1) Signed and dated Submission Agreement; and
(2) A statement of claim specifying the relevant facts and remedies requested.
The claimant may include any additional documents supporting the statement of claim.
(b) Fees
At the time the
This rule is no longer applicable. NASD Rule 3140 has been superseded by FINRA Rule 1020. Please consult the appropriate FINRA Rule.
(a) Application — For the purposes of this Rule, the term "member" shall be limited to any member of the Association who is subject to SEC Rule 15c3-3 and is not designated to another self-regulatory organization by the Commission for financial
