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Guidance
December 13, 2011
… Rule 8213 Regulatory Notice 09-18 SEA Rule 13h-1 Executive Summary FINRA and the other interested members of the Intermarket Surveillance Group (ISG interested members) 1 are enhancing the Electronic Blue Sheets … Code — five or nine character (zip plus four) Country code — for future use. A-R LJ X(10) B 15 22 8 BRANCH OFFICE/REGISTERED REPRESENTATIVE NUMBER Each treated as a four-character field. Both are left justified. A-R … 6 Regulatory Notice December 201111-56 © 2011 FINRA. All rights reserved. FINRA and other trademarks of the Financial Industry Regulatory Authority, Inc. may not be used without permission. Regulatory Notices attempt …
Arbitration and Mediation
… 12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES (printable) The Customer Code applies to claims filed on or after April 16, 2007. In addition, the list selection provisions of the Customer Code apply to previously filed claims in which a list of arbitrators must be generated after … parties in disputes concerning investment accounts or transactions, or employment relationships within the financial industry. (4) A person shall not be designated as a public arbitrator, who was, for a total of 15 …
Arbitration and Mediation
… 13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES (printable) The Industry Code applies to claims filed on or after April 16, 2007. In addition, the list selection provisions of the Industry Code apply to previously filed claims in which a list of arbitrators must be generated after … parties in disputes concerning investment accounts or transactions, or employment relationships within the financial industry. (4) A person shall not be designated as a public arbitrator, who was, for a total of 15 …