I’m not sure I understand how the DR Portal works. What is the process for initiating a new arbitration case and registering the party representatives to it?
How do I create an online account so that I can access the Dispute Resolution (DR) Portal?
I locked my account by mistyping my password several times. How can I unlock it?
How can I file my arbitration claim online?
Is the Online
Proposed Rule Change to Adopt FINRA Rule 2243 (Disclosure and Reporting Obligations Related to Recruitment Practices)
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of November 28, 1994, the following 37 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,739:
Symbol
Company
Entry Date
SOES Execution Level
CVTI
Covenant Transport, Inc. (Cl A)
10/28/94
500
LION
Fidelity Southern Corp.
10/31/94
200
BUMM
B.U.M. International, Inc.
Proposed Rule Change to Update a Cross-Reference in FINRA Rule 2232 (Customer Confirmations)
GUIDANCE
Issues Relating to the SEC's Adoption
of Regulation SHO
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Order Audit Trail System (OATS)
Order Marking
SEC Regulation SHO
Short Sales
Executive Summary
NASD, in conjunction with The Nasdaq Stock
Proposed Rule Change Relating to FINRA Rule 2232 (Customer Confirmations) to Require Members to Disclose Additional Pricing Information on Retail Customer Confirmations Relating to Transactions in Fixed Income Securities
Chairman Sarbanes, Ranking Member Gramm, members of the Senate Banking Committee, thank you for this opportunity to testify today on the vital, troubling and timely issues of investor protection and accounting highlighted by the collapse of Enron. It would be hard to overstate the human tragedy for Enron’s employees, pension-holders and investors caused by the failure of America’s seventh largest company.
Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) to Add Securities to the Pilot Rule
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of January 27, 1992, the following 43 issues joined the Nasdaq National Market, bringing the total number of issues to 2,690:
Symbol
Company
Entry Date
SOES Execution Level
PRFM
Perfumania, Inc.
12/19/91
500
MSMR
Missimer &
INFORMATIONAL
Member Surcharges And Process Fees In Arbitrations
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Arbitration Fees
Code of Arbitration Procedure
Executive Summary
The Securities and Exchange Commission (SEC or Commission) has approved increases to the member surcharges and process fees paid by member
