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Schedule A to the FINRA Sanction Guidelines [Version up to May. 1, 2018]
Violations That Generally Are Not Subject to Censure When Monetary Sanctions of $7,000 or Less Are Imposed Quality of Markets Violations •   ACT Violations—FINRA Rules 7210A–7280A, 7310–7380 and 7110B–7170B •   Backing Away •   Best Execution and Interpositioning •   Confirmation of Transactions (SEC
4560. Short-Interest Reporting
(a) Each member shall maintain a record of total "short" positions in all customer and proprietary firm accounts in all equity securities (other than Restricted Equity Securities as defined in Rule 6420) and shall regularly report such information to FINRA in such a manner as may be prescribed by FINRA. Reports shall be received by FINRA no later than the second business day after the
DR Portal Quick Reference Help Guides
Help for Arbitrators I don’t know how to register for the DR Portal I’m having trouble registering for the DR Portal I’m having trouble uploading documents to or downloading documents from the DR Portal Help for Parties I’m a Claimant who filed a Statement of Claim but I can’t access the case on the DR Portal I’m Claimant’s counsel and I can’t access the case on the DR Portal I’m a
Comment Letters Submitted by FINRA
FINRA has commented on the following topics.
Notice to Members 04-40
GUIDANCE Short Sale Reporting Requirements SUGGESTED ROUTING KEY TOPICS Executive Representatives Operations Trading ACT Reporting Requirements IM-6130 Rule 3350 Rule 6130 Short Sale Reporting Requirements Executive Summary On May 20, 2004, NASD, through its subsidiary, The Nasdaq Stock Market, Inc. (NASDAQ),
Regulatory Notice 20-04
Summary FINRA’s CAB rules provide a simplified rulebook for broker-dealers that engage only in limited capital advisory, corporate restructuring and private placement activities. FINRA is requesting comment on proposed amendments to the CAB rules to make them more useful to CABs without reducing investor protection. The proposed rule text is available in Attachment A.  Questions
Regulatory Notice 17-01
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Notice to Members 04-21
GUIDANCEAffirmative Determination RequirementsSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativeLegal & ComplianceOperationsNASD Rule 3370Short Sale RuleAffirmative DeterminationExecutive SummaryOn November 14, 2003, the Securities and Exchange Commission (SEC) approved amendments to Rule 3370 (Prompt Receipt and Delivery of Securities—the "affirmative
Notice to Members 04-02
ACTION REQUIREDBroker/Dealer, Investment Adviser, and Individual (AG/RA) RenewalsSUGGESTED ROUTING KEY TOPICS Executive RepresentativesLegal & ComplianceOperationsRegistered RepresentativeRegistrationSenior Management Maintenance FeesRegistrationRenewalsWeb CRDWeb IARD Executive SummaryThe 2004 NASD Broker/Dealer and Investment Adviser Registration
Notice To Members 87-46
TO: All NASD Members and Other Interested Persons EXECUTIVE SUMMARY The Securities and Exchange Commission has approved amendments to its rules, to Schedule D to the NASD By-Laws, and to the NASD's Transaction Reporting Plan, which will have the effect of: (1) requiring NASDAQ/NMS companies to comply with certain standards of corporate governance; (2) moving NASDAQ/NMS designation criteria