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Within 21 days after the filing of a notice of appeal pursuant to Rule 9311 or notice of call for review pursuant to Rule 9312, or at such later time as the National Adjudicatory Council may designate, the Office of Hearing Officers shall assemble and prepare an index to the record, transmit the record and the index to the National Adjudicatory Council, and serve copies of the index upon all
(a) Payment to Treasurer
All fines and other monetary sanctions shall be paid to the Treasurer of FINRA and shall be used for the general corporate purposes.
(b) Summary Suspension or Expulsion
After seven days notice in writing, FINRA may summarily suspend or expel from membership a member that fails to:
(1) pay promptly a fine or other monetary sanction imposed pursuant to
FINRA has corrected the intermittent TRAQS stop sign error condition some clients were receiving on Monday when attempting to access the website.
Please contact FINRA Operations or call 866.776.0800 if you continue to experience issues or if there are questions regarding this notice.
Beginning August 3, 2020, members are required to begin to report transactions in U.S. Treasury Securities executed to hedge a List or Fixed Offering Price Transaction or a Takedown Transaction (as defined in FINRA Rule 6710) with an appropriate identifier. See additional information regarding this change in Regulatory Notice 19-30.
A final production User Acceptance Test (UAT) for this change
(a) General Standards
(1) FINRA shall release to the public a copy of, and at FINRA's discretion information with respect to, any disciplinary complaint or disciplinary decision issued by FINRA, as defined in paragraph (e) of this Rule. FINRA shall, in response to a request, release to the requesting party a copy of any identified disciplinary complaint or disciplinary
The FINRA New Issue Form will be unavailable from 7 AM ET Saturday, March 27, 2021 until 7 PM ET Sunday, March 28, 2021, while the system undergoes scheduled maintenance.
Please contact FINRA Market Operations at 866-776-0800, Option 2 if you have questions regarding this notice.
(a) A claim by or against a member or an associated person who is inactive at the time the claim is filed is ineligible for arbitration under the Code unless the customer agrees in writing to arbitrate after the claim arises.
(b) If a member or an associated person becomes inactive during a pending arbitration, FINRA will notify the customer about the status change. Within 60
Sec. 7.5 (a) Any officer may resign at any time upon written notice of resignation to the Board, the President, or the Secretary. Any such resignation shall take effect upon receipt of such notice or at any later time specified therein. The acceptance of a resignation shall not be necessary to make the resignation effective.
(b) Any officer of FINRA Regulation may be removed, with or without
FINRA may, upon notice, terminate FINRA/Nasdaq Trade Reporting Facility service in the event that a Trade Reporting Facility Participant fails to qualify under specified standards of eligibility or fails to pay promptly for services rendered. For avoidance of doubt, any determination by FINRA to terminate the services of one of the two FINRA/Nasdaq Trade Reporting Facilities with respect to a
Upon request, the applicant shall be granted a hearing after reasonable notice. In the absence of such request for a hearing, FINRA's Office of Hearing Officers may, in its discretion, have any application set down for hearing or consider the matter on the basis of the application and supporting documents.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Amended by SR-NASD-2007-052 eff.