NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Interpretive Material ("IM") 2210-4 to require a member firm or a person associated with a member firm that refers, on its internet web site, to the firm's membership in NASD to provide a hyperlink to NASD's web site.
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Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Cover Letter From FINRA President and CEO, Robert Cook
January 8, 2018
As is our practice, we are marking the start of the new year by publishing our
Proposed Rule Change to Revise the Implementation Date for the Supplemental Inventory Schedule Approved Pursuant to SR-FINRA-2014-025
How long do I have to file an arbitration? Is there a statute of limitations?How do I file a Statement of Claim?Where do I file my Statement of Claim?Who will serve the Statement of Claim?How do I serve and file a Statement of Answer?Can I obtain an extension of time to serve and file a Statement of Answer?How do I serve and file counterclaims and cross-claims?How do I serve and file third-party
When used in the Capital Acquisition Broker Rules, unless the context otherwise requires:
(a) "Associated person of a capital acquisition broker" or "person associated with a capital acquisition broker"
The term "associated person of a capital acquisition broker" or "person associated with a capital acquisition broker" means: (1) a natural person
All capital acquisition brokers are subject to NASD Rule 1090.
Amended by SR-FINRA-2019-006 eff. March 12, 2019.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.
Selected Notice: 16-37.
INFORMATIONALUniform Submission AgreementsSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceSenior ManagementArbitrationSanctionsUniform Submission AgreementsExecutive SummaryNASD's Code of Arbitration Procedure (Code) requires respondents in NASD arbitrations to serve an answer and an executed Uniform Submission Agreement (USA) at the time the answer to the Statement of Claim is due.
<p>Electronic Batch Approval of New Customer Accounts.</p>
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend through December 31, 2005, the current pilot price-improvement standards for decimalized securities contained in NASD Interpretive Material 2110-2 - Trading Ahead of Customer Limit Order ("Manning Interpretation" or "Manning").
INFORMATIONAL
Dispute Resolution Subsidiary
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Arbitration
Dispute Resolution
Mediation
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own
