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SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Motions to Dismiss
FINRA is conducting a review of firm practices related to the acquisition of customers through social media channels and how firms manage their obligations related to information collected from those customers and other individuals that may provide data to firms. Please note that each item requested is specific to the subsection header.
TO: All NASD Members and Other Interested Persons
Attention: Direct Participation Programs Department
The NASD is publishing a letter issued by the Securities and Exchange Commission, providing interpretive advice with respect to the application of Rules 15c2-4 and 15c3-l to public and private offerings of direct participation programs. Rule 15c2-4 applies to offerings of securities being made
Comment Period Expires: May 17, 1995
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Senior Management
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Executive Summary
The NASD requests member comment on a proposed Interpretation of the NASD Board of Governors to Article III, Section 2 of the NASD Rules of Fair Practice (RFP). The Interpretation would
FIRST is a prototype taxonomy-based rulebook search tool designed by FINRA to make the FINRA rulebook more accessible when searching for relevant information or developing automated compliance functions. FIRST is enabled by a regulatory taxonomy, or a hierarchical classification of key business and regulatory terms, applied, or “tagged,” to a series of key FINRA rules.
(a) Fees for Claims Filed by Associated Persons
(1) Associated persons who file a claim, counterclaim, cross claim or third party claim must pay a filing fee in the amount indicated in the schedule below.
Filing Fees for Claims Filed by Associated Persons
Amount of Claim
(exclusive of interest
(a) Dissemination Upon ReceiptFINRA will disseminate information on all transactions in TRACE-Eligible Securities, including transactions effected pursuant to Securities Act Rule 144A, immediately upon receipt of the transaction report, except as provided in paragraphs (b) through (d) of this Rule.(b) Periodic DisseminationFINRA will disseminate aggregated information on certain transactions in
(a) Composition of Panels
The arbitrator will be a public arbitrator selected from the public chairperson roster, unless the parties agree in writing otherwise.
(b) Generating Lists
(1) The list selection algorithm will generate a list of 10 public arbitrators from the FINRA chairperson roster.
(2) The list selection algorithm will exclude arbitrators from the lists based upon current
FINRA Reminds Firms of their Obligation to Report Accurately the Time of Execution for Transactions in TRACE-eligible Securities
In observation of the Thanksgiving holiday, the TRACE system will be closed on Thursday, November 23, 2023. Please be advised that the TRACE system will close early on Friday, November 24, 2023. See the table below for a schedule of modified hours (these hours also apply to BTDS/ATDS/SPDS/144A). Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you