The provisions of Rule 2220 shall be applicable to communications to customers regarding index warrants, currency index warrants, or currency warrants. The term "option" as used therein shall be deemed to include such warrants for purposes of this Rule and the term "The Options Clearing Corporation" shall be deemed to mean the issuer of such warrants.
Amended by
FINRA, its employees, and any mediator named to mediate a matter under the Code shall not be liable for any act or omission in connection with a mediation administered under the Code.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Renumbered from Rule 14107 by SR-NASD-2006-109 eff. Dec. 24, 2007.
Renumbered from Rule 10408 and amended by SR-NASD-2007-022 eff. April 16,
At the conclusion of an arbitration, an arbitrator may refer any matter to FINRA for disciplinary investigation that has come to the arbitrator's attention during and in connection with the arbitration.
Remarks by Executive Vice President Thomas M. Selman at the IRI Government, Legal and Regulatory Conference
<p>If a member transmits orders to buy and sell TRACE-eligible securities to other broker-dealers for the benefit of various proprietary accounts of foreign affiliates of the member, the member is acting as agent and must report the transactions under Rule 6230.</p>
<p>The FINRA Board of Governors will consider the following rulemaking items at its December 2015 meeting. After the meeting, FINRA will notify firms via email about the Board’s actions on these items and anticipated next steps, if any.</p>
I definitely do not want FINRA to make any changes to Proposed Rule #22-08. Public traded funds need to remain public. This almost reminds me that I may not be ELITE enough to participate in what has always been available to the public. The thought of being tested to see if I know enough about these funds is ludicrous. I don't believe that FINRA should be awarded this kind of control over
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to
Transparency is essential to our “free” markets and recently implemented rules & regulations mean NOTHING without enforcement. I am sickened by the lack of accountability of our government officials and how naked short-selling and other egregious behaviors have continued for far too long by Hedge Fund institutions with ZERO considerations “paid” to retail investors.
