Before ranked arbitrator lists are due to the Director under Rule 13404(d), the Director may combine separate but related claims into one arbitration. Once a panel has been appointed, the panel may reconsider the Director's decision upon motion of a party.
Amended by SR-FINRA-2009-003 eff. Jan. 8, 2009.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008
Treasury Makes New Mailing Lists Available Via The Internet
Recently, the U.S. Department of Treasury (Treasury) allowed interestedparties to sign up for the followingtwo new mailing list notificationpages via the Bureau of the PublicDebt's Web site:
One page contains three mailing lists related to government securities market regulation and allows individuals to receive e-mail
The FINRA Board of Governors will consider the following rulemaking item at its September 2014 meeting. After the September 19 meeting, FINRA will notify firms via email about the Board’s actions on this item and anticipated next steps, if any.
Equity Trading Initiatives
ATS Order Book Information
The Board will consider a proposal to require alternative trading systems (ATSs) to provide FINRA
Year 2000 Tips For Members Will Your Fax Machine Work?
As the millennium approaches, one of the areas all businesses should assess for Year 2000 readiness is their internal office equipment. Last month, Notices to Members provided information on how to check a PC (personal computer), and this month's tip for members involves preparing your fax machine for 2000. Firms should first contact
FINRA Reminds Firms of Their Obligations Regarding the Supervision of Registered Persons Using Senior Designations
On Oct. 16, 2024, the Cybersecurity & Infrastructure Security Agency (CISA) released Cybersecurity Advisory - AA24-290A, which provides threat actors’ tactics, techniques, and procedures (TTPs) and indicators of compromise (IOCs) associated with Iranian cyber actors. In light of the historical proclivity of Iranian threat actors targeting the financial services industry, FINRA is sharing this information with member firms.
Executive Summary
On May 17, 2002, the Securities and Exchange Commission (SEC) approved a rule change requiring members to obtain a signed Subordination Agreement Investor Disclosure Document (Disclosure Document) from each investor before entering into a subordination agreement with that investor.
The Disclosure Document requirement, the text of which is provided in Attachment A, becomes
Application of Rules 3030 and 3040 to receipt of "wrap fees" by registered representative/investment adviser who recommends clients invest in asset allocation program managed and traded by unrelated money manager.
SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Operations
Systems
Trading
Executive Summary
In the October Notices to Members, the National Association of Securities Dealers, Inc. (NASD) published an FYI alerting members to legislation recently enacted by Congress that authorizes the Securities and Exchange Commission (SEC) to collect a fee (SEC fee) of 1
Staff interpretation of the continuing commissions policy codified in NASD IM-2420.
