Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4)
Revised Discovery Guide and Document Production Lists for Customer Arbitration Proceedings
NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc. ("NASD Dispute Resolution"), is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to allow for the digital recording of arbitration hearings.
SEC Requests Broker-Dealers Make SARs and SAR Information Available to FINRA
SR-FINRA-2008-062 - Proposed Rule Change to Adopt FINRA Rule 2267 (Investor Education and Protection) in the Consolidated FINRA Rulebook
SR-FINRA-2008-043 - Proposed Rule Change to Establish a Membership Waive-In Process for Certain NYSE Alternext US LLC Member Organizations
Proposed Rule Change Relating to the General Securities Sales Supervisor (Series 9/10) Registration Category
Proposed Rule Change Relating to the Panel Selection Process in Customer Cases with Three Arbitrators.
The NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc., has filed with the SEC proposed rule change to the NASD Code of Arbitration Procedure to amend the procedure followed upon the disqualification or other disability of an arbitrator on a three-person arbitration panel.
GUIDANCE
Qualification Examinations
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Training
Limited Principal—Direct Participation
Programs (Series 39)
Limited Principal—Financial and
Operations (Series 27)
Limited Principal—Introducing
Broker-Dealer Financial and
Operations (Series 28)
