TO: All NASD Members and NASDAQ Subscribers
On October 5, 1983, the Securities and Exchange Commission adopted a rule change which will require all foreign issuers seeking inclusion in NASDAQ to be registered pursuant to Section 12(g) of the Securities Exchange Act of 1934. This registration requires foreign issuers to file periodic reports with the Commission similar to those filed by domestic
Date
Feature
Description
December 15, 2022
Requests and Filings
Filters:
Re-design in the layout
Moved all the Frequently used filters to the top such as Date filter, Overdue and Status filter
Mapped the Type filters under their associated “parent” Category filters
Enabled the multi-select capability under each
We publish The Neutral Corner
to provide arbitrators and
mediators with current updates
on important rules and
procedures within securities
dispute resolution. FINRA’s
dedicated neutrals serve parties
and other participants in the
FINRA forum by taking advantage
of this valuable learning tool.
FINRA Dispute Resolution (FINRA) had a busy year in 2009. In addition to the
large increase in case filings, we implemented several new rules resulting in
additional training for arbitrators.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Monthly Disciplinary Actions April 2018
