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(a) To the fullest extent possible, parties should produce documents and make witnesses available to each other without the use of subpoenas.
(1) Arbitrators shall have the authority to issue subpoenas for the production of documents or the appearance of witnesses.
(2) Unless circumstances dictate the need for a subpoena, arbitrators shall not issue subpoenas to non-party FINRA members and/or
(a) To the fullest extent possible, parties should produce documents and make witnesses available to each other without the use of subpoenas.
(1) Arbitrators shall have the authority to issue subpoenas for the production of documents or the appearance of witnesses.
(2) Unless circumstances dictate the need for a subpoena, arbitrators shall not issue subpoenas to non-party FINRA members and/or
Revisions to the Sanction Guidelines Create New Fine Ranges Specific to Firm Sizes and Individuals, Reflect FINRA’s Enforcement Priorities
WASHINGTON—FINRA announced today that the National Adjudicatory Council (NAC) has made significant improvements to the Sanction Guidelines to ensure that they accurately reflect the levels of sanctions imposed in FINRA disciplinary proceedings and serve as an
Testimony Concerning Auction Rate Securities Markets, Committee on Financial Services, U.S. House of Representatives
08-52 - SEC Approves Amendments to Eliminate Yield Reporting to TRACE and FINRA Will Disseminate Standard Yield in Real-Time TRACE Data
Technology Changes for Reporting Certain Complaint
and Disclosure Information
Under Section 15A(b)(8) of the Securities Exchange Act of 1934, FINRA must provide a fair and impartial procedure for the disciplining of members, and persons associated with members, and the enforcement of FINRA’s rules. Towards this end, FINRA formed the Office of Hearing Officers (OHO), which is an office of impartial adjudicators. OHO serves as FINRA’s “courthouse” for disciplinary and
FINRA Provides Clarification on SEC Guidance Regarding Emergency Orders Concerning Short Selling
Retrospective Rule Review
Comment Period Expires: May 14, 2015
Regulatory Notice
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Continuing Membership Application
Membership Agreement
Washington, DC - The Financial Industry Regulatory Authority (FINRA) announced today that Oppenheimer & Co. will pay a fine of $250,000 for supervisory and other failures in connection with improper market timing of mutual fund shares from January through September 2003. The firm will also pay $4.25 million in restitution to more than 60 mutual fund companies.