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-
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.
Upcoming FINRA Board of Governors Election
REQUEST FOR COMMENT
Principal Pre-Use Approval of Member
Correspondence
Comment Period Expires May 27, 2005
SUGGESTED ROUTING
KEY TOPICS
Advertising
Investment Companies
Legal & Compliance
Registered Representatives
Senior Management
Variable Contracts
Advertising
Communications with the Public
NASD Rules 2211 and 3010
Executive Summary
NASD
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA Warns of Fraudulent Phishing Emails Targeting Member Firms
GUIDANCENAC NominationsNomination Deadline: May 17, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceSenior ManagementNational Adjudicatory CouncilExecutive SummaryThe purpose of this Special Notice to Members is to advise members of the nomination procedures to fill two upcoming vacancies on the National Adjudicatory Council (NAC). The three-year terms of the NAC regional Industry
FINRA Rule 5310 (Best Execution and Interpositioning) requires that, in any transaction for or with a customer or a customer of another broker-dealer, a member and persons associated with a member shall use reasonable diligence to ascertain the best market for the subject security, and buy or sell in such market so that the resultant price to the customer is as favorable as possible under prevailing market conditions.
Updated as of January 30, 2025FINRA believes that it is appropriate, after a reasonable period of time, to look back at its significant rulemakings to determine whether a FINRA rule or rule set is meeting its intended investor protection objectives by reasonably efficient means, particularly in light of environmental, industry and market changes. These retrospective reviews look at
FINRA's Advertising Regulation Conference offers a comprehensive agenda designed for new and experienced advertising professionals. Industry and Regulatory speakers will facilitate interactive, forward-looking discussions on current practices, policies, priorities and emerging regulation. This year’s conference also includes opportunities to networking with industry peers and meet one-on-
