The BrokerCheck dispute process, as defined in FINRA Rule 8312(e), allows eligible individuals and FINRA firms to dispute or update the accuracy of information that is disclosed in their own BrokerCheck reports.
On this page you will find information on eligibility, the BrokerCheck Dispute Form and instructions on how to submit a dispute.
Who Can Submit a Dispute?
Any current or former FINRA
As referenced in FINRA's Annual Priorities Letter, conflicts of interest represent a recurring challenge that contribute to compliance and supervisory breakdowns which can lead to firms and registered representatives, at times, compromising the quality of service they provide to clients.
April 6, 2004
NASD is publishing this article to remind members of the definition of "electronic order" reportable under the current OATS Phase 2. The general definition of an electronic order is an order that is captured electronically in an order handling/routing or execution system. An order is deemed electronic by how the order ultimately is captured, even if the order initially is
October 21, 2002NASD Provides Updated Guidance on OATS Reporting Responsibilities for Orders Executed in a Riskless Principal Capacity by Both Non-market Makers and Market Makers.BackgroundPursuant to NASD Marketplace Rules 6954(d) and 6955, all member firms must record and transmit to the Order Audit Trail System (OATS) specified information about, among other things, the execution of customer
Once retired, you may have questions about the future—particularly about how your spouse and family will cope financially if you become disabled or die and what will happen to the assets in your estate after your death. These valid concerns underscore the importance of sound long-term retirement planning.
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Mail Vote
Last Voting Date: February 10, 2003
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Executive Representatives
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NASD By-Laws
Non-Payment of Arbitration Awards
Definition of "Disqualification
Executive Summary
The purpose of this Notice is to advise members of the impending election to fill forthcoming vacancies on the District Committee and next year's District Nominating Committee and to communicate with all members the procedures to fill these vacancies. The procedures are described in detail in Exhibit A: 1998 District Election Procedures.
This Notice also serves to advise
Your credit score is a picture of you as a credit risk to the lender at the time of your application.
<p>Letter addresses circumstances under which persons must report events involving a fixed annuity insurance product.</p>
