Filing your income taxes can be confusing enough, but special tax rules, exclusions, extensions and deployment can make tax season even more difficult for military members and their families. Fortunately, free tax assistance is available both online and on your installation.
(a) Applicability of Rule
This rule applies to arbitrations involving $50,000 or less, exclusive of interest and expenses. Except as otherwise provided in this Rule, all provisions of the Code apply to such arbitrations.
(b) Single Arbitrator
All arbitrations administered under this Rule will be decided by a single arbitrator appointed from the FINRA chairperson roster in accordance with the
FINRA's mission is to safeguard the investing public against fraud and bad practices. We pursue that mission in five important ways to enable a fair, balanced, inclusive market where everyone can invest with confidence:1. Deter misconduct by enforcing the rulesWe write and enforce rules and regulations for every single brokerage firm and broker in the United States. That includes requiring
There may come a time when you want to transfer your securities accounts between broker-dealers. If so, here’s what you need to know.Most customer accounts are transferred between broker-dealers through an automated process. The National Securities Clearing Corporation (NSCC) operates the Automated Customer Account Transfer Service (ACATS) to facilitate the transfer of a customer account from one
FINRA advises each member firm to review the Report and consider incorporating relevant elements into its compliance program in a manner tailored to its activities. The Report is intended to be just one of the tools a member firm can use to help inform the development and operation of its compliance program; the Report does not represent a complete inventory of regulatory obligations, compliance considerations, findings, effective practices or topics that FINRA will examine.
FINRA’s Risk Monitoring and Examination Programs evaluate member firms for compliance with relevant obligations and consider specific risks relating to each firm, including those relating to a firm’s business model, supervisory control system and prior exam findings, among other considerations. While the topics addressed in this Report are selected for their interest to the largest number of
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.
As a not-for-profit, self-regulatory organization (SRO) with an 85-year history, FINRA pursues its mission of promoting investor protection and ensuring market integrity in many ways
SEC Approves Proposed Rule Change to Amend the Submission Agreement and Related Rules in the Arbitration Codes for Customer and Industry Disputes
FINRA Addresses Firms’ Retail Foreign Currency Exchange Activities
