(a) Submitting a dispute to arbitration under the Code does not limit or preclude any right, action or determination by FINRA that it would otherwise be authorized to adopt, administer or enforce.
(b) During the pendency of an arbitration, any arbitrator may refer to the Director any matter or conduct that has come to the arbitrator's attention during a hearing, which the arbitrator has
On September 12, 2016, FINRA added a new ATS Order Type Entry Screen to the OATS Administration Section of the OATS Web Interface.
(a) Consolidation Initiated by Chief Hearing Officer
The Chief Hearing Officer may order the consolidation of two or more disciplinary proceedings, upon his or her own motion, under circumstances where such consolidation would further the efficiency of the disciplinary process, and where the subject complaints involve common questions of law or fact, or one or more of the same Respondents. In
The forms required by Rule 11580 are published in NASD Notice to Members 96-14 (March 1996), pp. 70–75.
Amended by SR-FINRA-2010-030 eff. Dec. 15, 2010.
Adopted by SR-NASD-95-53 eff. Jan. 29, 1996.Selected Notice: 10-49.
All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to NASD Rule 1016.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.
Selected Notice: 16-37.
All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to NASD Rule 1015.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.
Selected Notice: 16-37.
All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to NASD Rule 1019.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.
Selected Notice: 16-37.
INFORMATIONAL
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Debt SecuritiesOperationsRule 6200 SeriesTRACETransaction Reporting
Corporate Debt Securities
Executive Summary
The TRACE System is being enhanced to accept reports of transactions in TRACE-eligible securities in cases where the execution
ACTION REQUESTED
Required Disclosures For Securities Recommendations
Comment Period Expires August 15, 2001
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NASD Regulation, Inc. (NASD RegulationSM) requests comment from National
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On December 23, 1993, the Securities and Exchange Commission (SEC) issued an order approving amendments to the Rules of Practice and Procedure for the Small Order Execution System (SOESSM). The new rules prohibit short sales in SOES; reduce the largest eligible SOES order
