In addition to disciplinary proceedings brought by FINRA’s Department of Enforcement, the Office of Hearing Officers also hears expedited proceedings. This Guide describes some of the Rules for expedited proceedings, which are fully set forth in Rule 9561 and the Rule 9550 and 9100 Series of FINRA’s Code of Procedure.
The purpose of this Guide is to assist the reader in understanding FINRA’s
Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
This ruling unfairly limits the ability to invest and profit or lose accordingly. Requiring education to the investor is reasonable but prohibiting access is rigging the game. It's understood that this environment carries heightened risk for these products. Putting a ruling like this in place now will restrict individuals access to these products in the future when risk is much lower,
FINRA Requests Comment on Proposed FINRA Rule Addressing Best Execution
FINRA Issues Guidance to Broker-Dealers on Partial Redemptions of Auction Rate Securities
<p>If a member engages in a TRACE-eligible securities transaction that is part of an open market issuer repurchase, the member would not be in compliance with Rule 6230 if the member failed to report the transaction in reliance on Rule 6230(e)(3).</p>
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Executive Summary
The Office of General Counsel, NASD Regulation, Inc. (NASD RegulationSM) and Office of General
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).
Proposed Rule Change Relating to Elimination and Modification of Duplicative Rules After Implementation of the Consolidated Audit Trail
Additional Guidance on FINRA’s New Suitability Rule
