Individuals with Limited English Proficienc)y (LEP) can request additional time to complete a qualification examination or Regulatory Element Continuing Education (CE) session.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
View number of cases and arbitrators per hearing location through the previous month.
Request Manager facilitates the electronic exchange of information between firms/individuals and FINRA. With Request Manager, which is available via the FINRA Gateway and its designated portal, firms and individuals are able to securely submit, manage and track FINRA information requests.
Resources
Request Manager User Guide
FINRA Gateway page
FINRA Publishes a Request for Information by
October 24, 2006
On September 29, 2006, NASD filed a proposed rule change (SR-NASD-2006-115) to establish a new Trade Reporting Facility in conjunction with the Boston Stock Exchange ("BSE") that would provide members another mechanism for reporting trades in exchange-listed securities effected otherwise than on an exchange.
NASD is issuing this OATS Report to inform members that,
FINRA takes disciplinary actions against firms and individuals for violations of NASD rules; federal securities laws, rules, and regulations; and the rules of the Municipal Securities Rulemaking Board.
FINRA® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
Rulemaking Items for Discussion at the February 2014 Meeting
