SEC Approves Amendments Raising the Threshold for Single Arbitrator Cases to $100,000
The FINRA ORF technical platform migration will begin on Monday, November 17, 2014. The major functional and administrative areas for the migration are listed below.
FINRA Provides Guidance on New Rules Governing Communications With the Public
The FINRA ORF technical platform migration will begin on Monday, November 17, 2014. The major functional and administrative areas for the migration are listed below.
NASD® 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 the Municipal Securities Rulemaking Board (MSRB).
FINRA’s Enforcement Department is conducting an inquiry with respect to forex trading.
Exemptive relief is granted based on: the representation that at the time of the contribution the individual was not an MFP (as defined); the firm already has a significant business relationship with the governmental entities of which the contribution recipients were considered to be issuer officials; the firm has instituted information barriers on certain municipal business communications; the individual involved will be prohibited from the solicitation of certain new municipal business for a period of time.
Exemptive relief is granted based on: the representation that the acquiring firm did not engage in the soliciation of business and the individual was not, at the time, considered to be an MFP as defined; the acquiring firm did not have knowledge of the contribution and the contribution has been returned; the municipal securities business relationships of the acquired firm were long standing and existed prior to the contribution; the firm has instituted extensive information barriers on certain municipal business communications; the individual involved will be prohibited from the solicitation of new municipal securtiies business for a period of time.
SEC Approves Proposed Rule Change to Amend the Submission Agreement and Related Rules in the Arbitration Codes for Customer and Industry Disputes
