(a) If a claim is amended before it has been answered, the respondent's original time to answer is extended by 20 days.
(b) If a claim is amended after it has been answered, but before a panel has been appointed, the respondent has 20 days from receipt of the amended claim to serve an amended answer.
(c) If a claim is amended after a panel has been appointed, the respondent has
(a) Conditions Permitting "Sell-Out"
Upon failure of the buyer to accept delivery in accordance with the terms of the contract, and lacking a properly executed Uniform Reclamation Form or the equivalent depository generated advice for depository eligible securities meeting the requirements prescribed in Rule 11710(b), the seller may, without notice, "sell-out" in the
(a) Calendar Day
In the Rule 9000 Series, "day" means calendar day.
(b) Formula
In computing any period of time, the day of the act, event, or default from which the period of time designated in the Code begins to run shall not be included. The last day of the period so computed shall be included, unless it is a Saturday, Sunday, or Federal holiday, in which event the
(a) Claims of $50,000 or Less
If the amount of a claim is $50,000 or less, exclusive of interest and expenses, the panel will consist of one arbitrator and the claim is subject to the simplified arbitration procedures under Rule 13800.
(b) Claims of More Than $50,000 Up To $100,000
If the amount of a claim is more than $50,000 but not more than $100,000, exclusive of interest and
(a) When a member has actual notice that a FINRA employee has a financial interest in, or controls trading in, an account, the member shall promptly obtain and implement an instruction from the employee directing the member to provide duplicate account statements to FINRA.
(b) Members shall not directly or indirectly make any loan of money or securities to any FINRA employee. However,
Memo to SEC/FINRA regarding the purchase of leveraged investments Proposed Rule #S7-24-15 I appreciate the opportunity to comment on this proposed new rule/regulation. I have held ProShares in one of my portfolios since early 2016. Symbol USD. This investment is up 742.06% and has split once 3:1 which tripled my shares. It has performed well in up and down markets. It has enhanced my returns in
As part of its Transparency Services improvement initiatives, on December 5, 2022, FINRA will re-platform the OTC Reporting Facility (ORF) to a new Linux-based operating system. These changes will include Trade Data Dissemination Service (TDDS) protocol changes, and ORF will begin supporting timestamps up to nanosecond granularity (HH:MM:SS.sssssssss) in accordance with amendments to FINRA’s
SEC Approves Amendments to Discovery Guide Used in Customer Arbitration Proceedings to Address Electronic Discovery, Product Cases and Affirmations
ACTION REQUIRED
Deficits in Introduced Accounts
SUGGESTED ROUTING
KEY TOPICS
Senior Management
Executive Representatives
Legal & Compliance
Operations
Clearing Firms
Deficits in Introduced Accounts
Introducing Firms
Executive Summary
NASD is concerned that clearing firms and introducing firms are frequently
The Alternative Display Facility (ADF) is an SRO display only facility that is operated by FINRA. The ADF provides members with a facility for the display of quotations, the reporting of trades, and the comparison of trades.
