(a) Before a claim has been answered by a party, the claimant may withdraw the claim against that party with or without prejudice.
(b) After a claim has been answered by a party, the claimant may only withdraw it against that party with prejudice unless the panel decides, or the claimant and that party agree, otherwise.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted
FINRA Provides Guidance on Customer Communications Related to Departing Registered Representatives
• • • Supplementary Material: --------------
.01 Uniform Delivery Ticket Form.
NO.
DELIVERY TICKET
NAME OF MEMBER:ADDRESS:
TELEPHONE
THE ATTACHED SECURITIES ARE DELIVERED AGAINST PAYMENT
CODES
ORIGINATOR NO.
TRANS. NO
A member who is acting as a broker for a customer or for both such customer and some other person, or a member who is acting as a dealer and who receives or has promise of receiving a fee from a customer for advising such customer with respect to securities, shall, at or before the completion of any transaction for or with such customer in any security in the primary or secondary distribution
(a) Generally
Except as otherwise provided in the Code, a dispute must be arbitrated under the Code if the dispute arises out of the business activities of a member or an associated person and is between or among:
• Members;
• Members and Associated Persons; or
• Associated Persons.
(b) Insurance Activities
Disputes arising out of the
Amended by SR-FINRA-2016-043 eff. Dec. 15, 2016.
Amended by SR-FINRA-2009-035 eff. July 14, 2009.
Amended by SR-FINRA-2009-034 eff. June 23, 2009.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Amended by SR-NASD-2007-033 eff. June 23, 2007.
Amended by SR-NASD-2005-061 eff. May 11, 2005.
Amended by SR-NASD-2003-110 eff. June 28, 2004.
Adopted by
Confirmations or comparisons shall include, in addition to an adequate description of the security (which shall include payment options on a unit investment trust series), the price at which the transaction was made and any other information deemed necessary to ensure that the buyer and seller agree as to details of the transaction. Such "other information" should include, if
TO: All NASD Members
ATTN: Compliance and Registration Personnel
Effective July 1, 1985, the revised Form U-4 (Uniform Application for Securities Industry Registration or Transfer) and Form U-5 (Uniform Termination Notice for Securities Industry Registration) will be used to register and terminate individuals with the NASD through the Central Registration Depository (CRD). The revised forms are
(a) A Trade Reporting Facility Participant shall clear and settle transactions in designated securities through the facilities of a registered clearing agency that uses a continuous net settlement system. This requirement may be satisfied by direct participation, use of direct clearing services, or by entry into a correspondent clearing arrangement with another member that clears trades through
Parties may arbitrate a dispute under the Code if:
• The parties agree in writing to submit the dispute to arbitration under the Code after the dispute arises; and
• The dispute is between a customer and a member, associated person of a member, or other related party; and
• The dispute arises in connection with the business
