SR-FINRA-2009-020 - Proposed Rule Change Relating to the FINRA Regulation Board Composition and Conforming Changes to the FINRA Regulation By-Laws
NASDR has filed with the SEC a proposed Discovery Guide for use in NASD arbitration proceedings to improve the discovery process in NASD-sponsored securities arbitrations.
<p>Applicability of Rule 3230 to a three-party clearing agreement.</p>
Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement
SR-FINRA-2008-055 - Proposed Rule Change to Adopt NASD Rule 2315 (Recommendations to Customers in OTC Equity Securities) as a FINRA Rule
I am Barry R. Goldsmith, Executive Vice President for Enforcement of NASD Regulation, Inc. (NASDR). NASDR and its parent, the National Association of Securities Dealers, Inc. (NASD®), would like to thank the Subcommittee for this opportunity to testify at today’s hearing.
Testimony Before the Subcommittee on Oversight and Investigations
Testimony of Stephen Luparello, Vice Chairman of FINRA Before the Committee on Agriculture
08-48 - Special Allowance to Permit Bulk Exchanges of Shares of Certain Reserve Funds
(a) Fees for Claims Filed by Customers, Associated Persons and Other Non-Members
(1) Customers, associated persons, and other non-members who file a claim, counterclaim, cross claim or third party claim must pay a filing fee in the amount indicated in the schedule below. The Director may defer payment of all or part of the filing fee on a showing of financial hardship. If payment of the fee is
