INFORMATIONAL
Statutory Employment Discrimination
Arbitration Fees
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Arbitration Fees
Executive Summary
On October 24, 2005, the Securities and Exchange Commission (SEC)
approved an amendment to the fee schedule for certain statutory
employment discrimination claims.1 Under the new fee schedule,
a current or former
NASD has filed with the SEC a proposed rule change to extend the pilot rule in IM-10100, paragraphs (f) and (g), of the NASD Code of Arbitration Procedure (Code) to require industry parties in arbitration to waive application of contested California arbitrator disclosure standards, upon the request of customers or, in industry cases, of associated persons with claims of statutory employment
SEC Approves Rule Change to Reduce the Delay Period for the Corporate and Agency Debt Historic TRACE Data Sets
Rule #22-08 is a bad rule for the nation.
GUIDANCE
NASD's Trading and Quotation Halt Authority Expanded
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Trading
IM-6660-1
OTC Equity Securities
Quotations
Rule 6660
Trading Halts
Executive Summary
On December 18, 2006, the Securities and Exchange Commission
(SEC) approved amendments to NASD Rule 6660
OATS Phase III Frequently Asked Questions
SR-FINRA-2009-015 - Proposed Rule Change to Adopt Rule 13806 of the Code of Arbitration Procedure for Industry Disputes to Establish Procedures to Expedite the Administration of Promissory Note Cases
FINRA Revises the Series 24 and 23 Examination Programs
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA Adopts Amendments Relating to Regulation NMS Plan to Address Extraordinary Market Volatility
