For the period of 5/1/2025 through 5/31/2025AASPIDA FINANCIALASPIDA FINANCIAL DISTRIBUTORS, LLC2327 ENGLERT DR., DURHAM, NC 27713MAILING ADDRESS: ENGLERT DR, 2327, DURHAM, NC 27713ADMITTEDBBCS GLOBAL MARKEBCS GLOBAL MARKETSNAME CHANGED TO: THE ULTIMA GLOBAL MARKETS (USA), INC.BCS GLOBAL MARKETHE ULTIMA GLOBAL MARKETS (USA), INC.NEW NAME OF: BCS GLOBAL MARKETSBSG SECURITIES,BSG SECURITIES, LLC1000
Testimony by Senior Vice President of Investor Education and President of the FINRA Investor Education Foundation Gerri Walsh Before the Senate Special Committee on Aging
(a) This rule provides procedures under which parties and arbitrators may communicate directly.
(b) Only parties that are represented by counsel may use direct communication under this rule. If, during the proceeding, a party chooses to appear without counsel, this rule shall no longer apply.
(c) All arbitrators and all parties must agree to the use of direct communication during the Initial
(a) Parties may not submit documents to arbitrator(s) in cases that have been closed except under the following limited circumstances:
(1) as ordered by a court;
(2) at the request of any party within 10 days of service of an award or notice that a matter has been closed, for typographical or computational errors, or mistakes in the description of any person or property referred to in
(a) This rule provides procedures under which parties and arbitrators may communicate directly.
(b) Only parties that are represented by counsel may use direct communication under this rule. If, during the proceeding, a party chooses to appear without counsel, this rule shall no longer apply.
(c) All arbitrators and all parties must agree to the use of direct communication during the
(a) Parties may not submit documents to arbitrator(s) in cases that have been closed except under the following limited circumstances:
(1) as ordered by a court;
(2) at the request of any party within 10 days of service of an award or notice that a matter has been closed, for typographical or computational errors, or mistakes in the description of any person or property referred to in
GUIDANCE
Expedited Proceedings
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Expedited Proceedings
Rule 9550 Series
Executive Summary
On March 9, 2004, the Securities and Exchange Commission (SEC) approved an NASD proposed rule change that creates the Rule 9550 Series to consolidate, clarify, and streamline most
Industry Governor (Floor Member)President and Co-Head, Merrill Wealth ManagementGovernor Since 2024Committees: Nominating & Governance Committee, Regulatory Policy CommitteeProfessional ExperienceMerrill LynchPresident and Co-Head, Merrill Wealth Management (2023 – Present)Managing Director (2007 – 2010 and 2014 – 2023)Director, Vice President (1994 – 2007)
Industry Governor (Small Firm Representative)Chief Operations/Compliance Officer, Herold & Lantern Investments, Inc.Governor Since 2020Committees: Finance, Operations & Technology Committee, Nominating & Governance CommitteeProfessional ExperienceChief Operations/Compliance Officer, Herold & Lantern Investments (1993 – present)FINRA Small Firm Advisory Committee (
