ACTION REQUESTED
Expungement
Comment Period Expired December 31, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registration
Senior Management
Central Registration Depository System
Expungement
Executive Summary
The
The Neutral Workshops provide practicing arbitrators and mediators with updates on developments within FINRA's dispute resolution program. They provide information about the latest proposed rule changes, procedures, recent Regulatory Notices as well as best practice tips.
(a) A member or person associated with a member may appeal a determination to declare a transaction null and void made by a FINRA officer under Rule 11892 to the UPC Committee, unless a decision is made by a FINRA officer under Rule 11892.02 regarding transactions that occurred outside of the applicable Price Bands disseminated pursuant to the LULD Plan, and further provided that rulings made by
(a) Hearing Session Fees
(1) Hearing session fees will be charged for each hearing session. The total amount chargeable to the parties for each hearing session is based on the amount in dispute, as specified in the schedule below. In the award, the panel will determine the amount of each hearing session fee that each party must pay.
Hearing Session Fees
Amount of Claim
What does Ombuds mean? Ombuds is a term originating from Sweden and means representative. The International Ombuds Association describes an ombuds as “one who assists individuals and groups in the resolution of conflicts or concerns.”
When you buy a stock, you're buying part ownership of a company and an opportunity to partake in its successes (or failures) over time, but it can be hard to compare different stocks. A company’s earnings per share (EPS), price-to equity ratio (P/E) and other ratios can help you compare companies of different sizes.
FINRA Requests Comment on the Effectiveness and Efficiency of Its Payments for Market Making Rule
Last Voting Date: September 27,
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTraining
Executive Summary
The NASD® invites members to vote on a proposed amendment to the Corporate Financing Rule under Article III, Section 44 of the Rules of Fair Practice that is intended to prohibit certain anti-dilution provisions of options, warrants, or
SUGGESTED ROUTING
Senior ManagementOperations
Executive Summary
On January 14, 1993, the Securities and Exchange Commission (SEC) approved amendments to Sections 59 and 65 of the NASD's Uniform Practice Code (UPC) establishing close-out procedures for instruments based on the performance of an index, currency, or other measure and establishing close-out and fail procedures to
(a) When and How Transactions are Reported(1) Trade Reporting Facility Participants shall, as soon as practicable but no later than 10 seconds after execution, transmit to the FINRA/NYSE Trade Reporting Facility or, if the FINRA/NYSE Trade Reporting Facility is unavailable due to system or transmission failure, by telephone to the FINRA/NYSE TRF Operations Department, last sale reports of
