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12205. Shareholder Derivative Actions
Shareholder derivative actions may not be arbitrated under the Code. Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008. Adopted by SR-NASD-2003-158 eff. April 16, 2007.Selected Notice: 07-07, 08-57.
13605. Witness Oath
All witnesses must testify under oath or affirmation. Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008. Adopted by SR-NASD-2004-011 eff. April 16, 2007.Selected Notices: 07-07, 08-57.
13205. Shareholder Derivative Actions
Shareholder derivative actions may not be arbitrated under the Code. Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008. Adopted by SR-NASD-2004-011 eff. April 16, 2007.Selected Notices: 07-07, 08-57.
12605. Witness Oath
All witnesses must testify under oath or affirmation. Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008. Adopted by SR-NASD-2003-158 eff. April 16, 2007.Selected Notice: 07-07, 08-57.
11363. Units of Delivery — Unit Investment Trust Securities
The minimum unit of delivery for Unit Investment Trust Securities shall be a single unit of the trust. Amended by SR-FINRA-2010-030 eff. Dec. 15, 2010. Added eff. Mar. 18, 1983.Selected Notices: 83-69, 10-49.
11330. Payment
The party making delivery shall have the right to require the purchase money to be paid upon delivery by certified check, cashier's check, bank draft or cash. Amended by SR-FINRA-2010-030 eff. Dec. 15, 2010.Selected Notice: 10-49.
6340A. Reports
A Trade Reporting Facility Participant shall make such reports to FINRA as may be prescribed from time to time by FINRA. Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008. Adopted by SR-NASD-2005-087 eff. Aug. 1, 2006.Selected Notice: 08-57.
Statement Before the SEC/CFTC Joint Meeting on Harmonization of Regulation
Chairmen Schapiro and Gensler and Commissioners, I am Steve Luparello, Vice Chairman of the Financial Industry Regulatory Authority, or FINRA. As a long- ago alum of both agencies, it is a true pleasure to have the opportunity to be here today.
13505. Cooperation of Parties in Discovery
The parties must cooperate to the fullest extent practicable in the exchange of documents and information to expedite the arbitration. Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008. Adopted by SR-NASD-2004-011 eff. April 16, 2007.Selected Notices: 07-07, 08-57.
12505. Cooperation of Parties in Discovery
The parties must cooperate to the fullest extent practicable in the exchange of documents and information to expedite the arbitration. Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008. Adopted by SR-NASD-2003-158 eff. April 16, 2007.Selected Notice: 07-07, 08-57.