Amendments to NASD, NASD Regulation, and NASD Dispute Resolution By-Laws Relating to Divestiture of American Stock Exchange
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
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 amend the NASD Code of Mediation Procedure ("Mediation Code") to re-number the rules, update cross references, and re-insert rule language that had been
FINRA Requests Comment on Proposed FINRA Rule Addressing Best Execution
Background information about FINRA Contact System (FCS) and related Notices.
INFORMATIONALTrade Reporting and Compliance Engine (TRACE)SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementIT ManagementDebt SecuritiesTrade Reporting and Compliance Engine (TRACE)Rule 7010(k)Executive SummaryThe TRACE system became effective on July 1, 2002. Since that time the TRACE fee structure has been operating under a pilot program approved by the SEC that
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education Testing/Qualifications
Legal & Compliance
Senior Management
Continuing Education
Firm Element
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
The NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc., has filed with the SEC a proposed rule change to amend the Code of Arbitration Procedure ("Code") to conform Rule 10314(b) to the current minimum standard applicable to claims, so that Answers need only specify relevant facts and available defenses to the Statement of Claim.
INFORMATIONAL
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Corporate FinanceLegal and ComplianceOperationsSenior ManagementTechnologyTrading and Market MakingTraining
Debt SecuritiesDisseminationOperationsRule 6200 SeriesTransaction Reporting
Executive Summary
On January 31, 2002, the Securities and Exchange Commission (SEC or Commission) approved
INFORMATIONAL
Quotation Reporting
Effective Date: June 27, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Technology
Trading And Market Making
Market Making
OTC Securities
Recording And Reporting Quotation Data
Executive Summary
On March 27, 2003, the Securities and
