Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws Relating to Qualification Examination Fees
Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced
INFORMATIONAL
Erroneous Complaint Procedures
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Operations
Senior Management
Trading & Market Making
Clearly Erroneous Complaint Procedures
NASD Rule 11890
Executive Summary
The purpose of this Notice is to reiterate the procedures for filing complaints under the National Association of
INFORMATIONAL
Non-Cash Compensation
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Rule 2710
Rule 2810
Non-Cash Compensation Provisions
Rule Modernization
Executive Summary
On April 7, 2003, NASD filed with the Securities and Exchange Commission (SEC) for immediate effectiveness
Interpretations are marked in blue background beneath the rule text to which they relate.
(a) No member or employee of a member organization shall exercise any discretionary power in any customer's account or accept orders for an account from a person other than the customer without first obtaining written authorization of the customer, the signature of the person or persons authorized to exercise discretion in the account (and of any substitute so authorized), and the date such
This rule is no longer applicable. Incorporated NYSE Rules have been superseded by Temporary Dual FINRA-NYSE member Rule Series. Please consult the appropriate FINRA Rule.
(a) No member or employee of a member organization shall exercise any discretionary power in any customer's account or accept orders for an account from a person other than the customer without first obtaining written
(a) Party Portal
(1) Parties must use the Party Portal to file initial statements of claim and to file and serve pleadings and any other documents on the Director or any other party except as provided in paragraph (a)(2). The Director may exercise authority to permit the use of other means of filing or service in the case of an extended Party Portal outage or in other extraordinary
This page provides a comprehensive collection of rules governing communications with the public and advertising practices for FINRA member firms. These include FINRA communications rules as well as relevant SEC, MSRB and SIPC advertising regulations.FINRA Communications and Disclosure Rules2210. Communications with the Public2211. Communications with the Public About Variable Life Insurance and
Andrew Dobry joined FINRA in 2020 as a Vice President within Internal Audit. Andrew leads the Information Technology Audit Team, which provides assurance over the security and integrity of FINRA’s information assets.
Mr. Dobry has over 35 years of experience in corporate audit roles. Prior to joining FINRA, Mr. Dobry was employed by Booz Allen Hamilton, with roles as Chief Audit Executive and
