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(a) Criteria for Receiving and Excluding Evidence
The Hearing Officer shall receive relevant evidence, and may exclude all evidence that is irrelevant, immaterial, unduly repetitious, or unduly prejudicial.
(b) Objections
Objections to the admission or exclusion of evidence shall be made on the record and shall succinctly state the grounds relied upon. Excluded material shall be
(a) Except as provided in Rule 12211, no party, or anyone acting on behalf of a party, may communicate with any arbitrator outside of a scheduled hearing or conference regarding an arbitration unless all parties or their representatives are present.
(b) No party, or anyone acting on behalf of a party, may send or give any written motion, request, submission or other materials directly to
Parties may arbitrate a dispute under the Code if:
• The parties agree in writing to submit the dispute to arbitration under the Code after the dispute arises; and
• The dispute is between a customer and a member, associated person of a member, or other related party; and
• The dispute arises in connection with the business activities of a member or an associated person, except
Confirmations or comparisons shall include, in addition to an adequate description of the security (which shall include payment options on a unit investment trust series), the price at which the transaction was made and any other information deemed necessary to ensure that the buyer and seller agree as to details of the transaction. Such "other information" should include, if
(a) All capital acquisition brokers are subject to paragraphs (a)(1) through (a)(6), (b)(1), (b)(4), (b)(5), (b)(7), (e) and (f) of FINRA Rule 3110, and Supplementary Materials .01 through .03, .06 through .09, and .11 following FINRA Rule 3110.
(b) A capital acquisition broker must permit the examination and inspection of its premises, systems, platforms, and records by representatives of FINRA
(a) A claimant must serve any answer to a counterclaim on each other party through the Party Portal within 20 days of receipt of the counterclaim. At the same time, the claimant must file the answer to the counterclaim with the Director.
(b) The answer must include the relevant facts and available defenses to the counterclaim. The claimant may include any additional documents supporting
(a) Except as provided in Rule 13211, no party, or anyone acting on behalf of a party, may communicate with any arbitrator outside of a scheduled hearing or conference regarding an arbitration unless all parties or their representatives are present.
(b) No party, or anyone acting on behalf of a party, may send or give any written motion, request, submission or other materials directly to
Thank you for the opportunity to appear today to discuss the important work that the Financial Industry Regulatory Authority, or FINRA, is doing to fulfill our mission under the federal securities laws to protect investors and safeguard market integrity while facilitating vibrant capital markets.
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Senior ManagementInstitutionalLegal & ComplianceSystemsTrading
Executive Summary
In July, the NASD Board of Governors solicited member comment on eliminating a safe harbor for members trading ahead of customer limit orders. After reviewing comments received from members and others, the Board has taken action to eliminate the disclosure safe harbor and to replace it
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the third quarter of 2021. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of December 17, 2021. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter December 16, 2021