Arbitration cases decided by award in the forum operated by FINRA represent a small subset of all cases closed involving customer disputes. The vast majority of customer cases close by settlement – not award.
Comment Period Expires May 31, 1999
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
GUIDANCE
Short Sale Reporting Requirements
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Operations
Trading
ACT Reporting Requirements
IM-6130
Rule 3350
Rule 6130
Short Sale Reporting Requirements
Executive Summary
On May 20, 2004, NASD, through its subsidiary, The Nasdaq Stock Market, Inc. (NASDAQ),
GUIDANCEContinuing Education RulesSUGGESTED ROUTINGKEY TOPICSContinuing EducationLegal & ComplianceOperationsSenior ManagementContinuing EducationRule 1120Executive SummaryOn February 13, 2004, the Securities and Exchange Commission (SEC) approved amendments to Rule 1120 to require that each member designate and identify to NASD the individual(s) who will receive Web Central
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Executive Summary
NASD Notice to Members 95-16 (March 1995) and NYSE Information Memorandum 95-16 (April 1995) (collectively referred to as "95-16") were published to address issues concerning provisions in customer agreements and predispute arbitration clauses that appear to violate NASD and NYSE rules.
Executive Summary
On May 18, 1998, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) Interpretive Material 2110-1 (IM-2110-1) and Rule 2720, revising certain provisions of the Free-Riding and Withholding Interpretation (Interpretation). These amendments address direct and indirect owners of broker/dealers, investment
FINRA Provides Additional Guidance Regarding Reporting Requirements Under Rule 4530
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMutual FundOperations*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposed amendment to Article III. Section 15 of the NASD Rules of Fair Practice that would permit members to use negative-response letters in bulk exchanges of
Summary
FINRA has amended, with immediate effectiveness, the provisions of FINRA Rule 2251 regarding rates of reimbursement for expenses incurred in processing and forwarding proxy and other issuer-related materials.1 As specified in more detail below, the amendments apply the notice and access fees set forth under the rule to the distribution of investment company shareholder reports
