(a) Time Limitation on Submission of Claims
No claim shall be eligible for submission to arbitration under the Code where six years have elapsed from the occurrence or event giving rise to the claim. The panel will resolve any questions regarding the eligibility of a claim under this rule.
(b) Dismissal under Rule
Dismissal of a claim under this rule does not prohibit a party from
GUIDANCE
"New Issue" Rule
Effective Date: November 2, 2005
SUGGESTED ROUTING
KEY TOPICS
Corporate Financing
Executive Representatives
Institutional
Legal & Compliance
Operations
Senior Management
Syndicate
Trading & Market Making
Training
Business Development Company
Direct Participation Program
Foreign Investment Company
IPO Distribution Manager
IPOs
New Issue
Summary
FINRA has amended its Codes of Arbitration Procedure for Customer and Industry Disputes (Codes) to: (1) increase the additional hearing-day honorarium chairs receive for each hearing on the merits from $125 to $250 and (2) create a new $125 chair honorarium for each prehearing conference in which the chair participates.1 To fund the increase in payments to chairs, the amendments make
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
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Variable Contracts
Executive Summary
On December 28, 1998,
Nominees for Vacant FINRA Board of Governors Large Firm Seats
FINRA Requests Comment on a Proposed New Rule Requiring Carrying/Clearing Member Firms to Maintain and Keep Current Certain Records in a Central Location
REQUEST FOR COMMENT
Proposed Rule Governing Allocations and Distributions of Shares in Initial Public Offerings (IPOs)
Comment Period Expires: January 9, 2004
SUGGESTED ROUTING
KEY TOPICS
Corporate Financing
Legal & Compliance
Senior Management
Trading & Market Making
IPO Allocations
IPO Pricing
Rule 2710
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
FINRA Warns Firms of Hoax Emails That Purport to Be From Regulators
