Executive Summary
On July 2, 1998, the Securities and Exchange Commission (SEC or Commission) amended SEC Rule 17a-5 to require broker/dealers to complete reports regarding their readiness and activities to prepare their businesses to address Year 2000 challenges and risks. The Rule amendment was published in the Federal Register—63 FR 37667 on July 13, 1998. Complete Rule information is also
Simplified Arbitrations
The simplified arbitration rules apply to arbitrations involving $50,000 or less, exclusive of interest and expenses.
Expedited Proceedings for Seniors & Seriously Ill Parties
Dispute Resolution may expedite arbitration proceedings in matters involving seniors or seriously ill parties.
Expungement
Brokers may seek to have a reference to allegations or involvement
The Arbitrator's Guide provides arbitrators important information and access to the forms necessary to complete their assignments.This guide contains general information about FINRA, tips for contacting staff in the four regional offices by email and important information about an arbitrator's duties and obligations. The Arbitrator's Guide also contains resources to help you learn
Regulatory Notice 13-10 announced the SEC’s approval, pursuant to FINRA Rule 4524, of the Derivatives and Other Off-Balance Sheet Items Schedule (OBS) as a supplement to the FOCUS report. At the time of its adoption, the OBS required all firms that carry customer accounts or self-clear or clear transactions for others (collectively, “carrying or clearing firms”) to file with FINRA the
(a) Dividends or Rights
A buyer of stock who has the certificate in its possession in time to enable it to effect transfer prior to the closing of the books or to the record date shall have no claim upon the seller (unless the seller is the registered holder) for the dividend or rights pertaining to such certificate, but the seller, upon request of the buyer, shall use its best efforts to
As Senior Vice President – Strategic Regulatory Engagement, Alex Ellenberg is responsible for providing guidance, counsel and analysis to the leadership team and various Market Regulation and Transparency Services (MRTS) groups regarding a wide variety of strategic, operational, regulatory, risk and compliance functions and activities. He also supports and provides strategic risk analysis to the
The following persons associated with a member are not required to be registered with FINRA:(a) persons associated with a member whose functions are solely and exclusively clerical or ministerial; and(b) persons associated with a member whose functions are related solely and exclusively to:(1) effecting transactions on the floor of a national securities exchange and who are appropriately
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: AUGUST 14, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to the definitions of "branch office" and "office of supervisory jurisdiction." Under the proposed amendments, any office at which certain specified functions take place would be defined as an office of supervisory
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.
The Neutral Corner Topical Index; Volume 5 - 2008; Curveballs: Unexpected Situations that Arise During a Hearing; Dispute Resolution News; Discovery Arbitrator Pilot; Did You Know; Question and Answer; Mediation and Business Strategies Update; Regional Updates
