Composition of Panels
(a) Generating Lists
(1) The list selection algorithm will generate:
(A) A list of 10 arbitrators from the FINRA non-public arbitrator roster;
(B) A list of 15 arbitrators from the FINRA public arbitrator roster; and
(C) A list of 10 public arbitrators from the FINRA chairperson roster.
(2) The list selection algorithm will generate the chairperson list first. Chair-
Effective October 1, 2007, the fee for processing each set of fingerprints submitted by a member firm to FINRA will decrease from $35 to $30.25.
TO: All NASD Members and Level 2 and Level 3 Subscribers
The Securities and Exchange Commission has approved amendments to Schedule D of the Association's By-Laws with respect to the rules which permit the aggregation or "bunching" of orders in NASDAQ National Market System securities into a single transaction report.
Under the amendments, which are effective immediately, orders
The ways in which people communicate have changed with advancements in technology, and so have the tactics of “cold calling” boiler rooms. Today’s boiler rooms go beyond the telephone to contact potential investors, including pitching through messaging apps and social media. Regardless of the method of contact, the scammer’s goal and many of the red flags are the same.
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
ACTION REQUIRED
Broker/Dealer, Investment Adviser, And Agent Renewals
Payment Deadline: December 7, 2001
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Executive Summary
The National Association of
Women’s financial influence is growing, but they may not be making the most of their increased financial power. Investing can seem intimidating, but it doesn’t need to be. Here are five ways women can take charge of their financial futures.
Upcoming FINRA Board of Governors Election
FINRA’s new account opening template is customizable so that firms can make the form their own.
FINRA Requests Comment on Proposed New In re Expungement Procedures for Persons Not Named in a Customer-Initiated Arbitration
