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(a) Before First Hearing Session Begins
Before the first hearing session begins, the Director may remove an arbitrator for conflict of interest or bias, either upon request of a party or on the Director's own initiative.
(1) The Director will grant a party's request to remove an arbitrator if it is reasonable to infer, based on information known at the time of the request,
In addition to the Helpline, FINRA has consistently focused on addressing concerns relating to senior investors. Our efforts have included rulemaking to provide firms with tools to address financial exploitation of seniors, guidance in FINRA publications, reviews of senior investor protection programs in our examinations, enforcement actions and collaboration with other regulators, as well as
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the third quarter of 2022. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of December 16, 2022. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter December 15, 2022
SummaryThrough its examinations of member firms, FINRA has observed instances of non-compliance with SEA Rule 15c3-1, SEA Rule 17a-3 and SEA Rule 17a-5 resulting from misapplication of the Financial Accounting Standards Board’s Accounting Standard Codification 606, Revenue from Contracts with Customers (“ASC 606”). This Notice provides guidance regarding potential compliance issues with respect
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Senior Management Legal & ComplianceOperations OptionsSyndicate Trading Training Other
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved new Section 42 of Article III of the NASD Rules of Fair Practice. The section prohibits NASD members from effecting, directly or indirectly, over-the-counter transactions in a security in which a trading halt is
Guidance on Low-Priced Equity Securities in Customer Margin and Firm Proprietary Accounts
Summary
The national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 26, 2021 (the Friday after Thanksgiving), which will modify the exercise cut-off time for expiring options. FINRA reminds firms that, pursuant to FINRA Rule 2360(b)(23)(A)(viii), if a national options exchange or The Options Clearing Corporation announces a modified time for the close of trading
(a) Member Application Process
(1) Definitions
(A) "Associated Person"
Solely for purposes of paragraph (a) of this Rule, the term "associated person" means any: (1) sole proprietor, partner, officer, director or manager of a funding portal, or other natural person occupying a similar status or performing similar functions; (2) natural person directly
Executive Summary
The purpose of this Election Notice is to notify FINRA small firm members of the distribution of ballots to elect one New York Region representative to the Small Firm Advisory Committee (SFAC). FINRA small firm members1 in the New York Region as of the close of business on Friday, October 21, 2022, are eligible to vote in these elections.
Ballots are due by Wednesday, November
On December 5, 2022, FINRA is introducing changes to the current Trade Data Dissemination Service (TDDS 2.0) protocol and structure. As of December 5, 2022, the current TDDS 2.0 version will no longer be supported as this will be a hot cut change, and only TDDS 2.1 will broadcast FINRA Over-the-Counter Reporting Facility (ORF) data.
TDDS 2.1 will be the first FINRA data product to use the MOLD/