Notice of Annual Meeting of FINRA Firms and Proxy
Proposed Rule Change Relating to Broadening Chairperson Eligibility in Arbitration
SEC Approves Amendments to FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for Covered Agency Transactions
Proposed Rule Change Relating to FINRA Rule 2232 (Customer Confirmations) to Require Members to Disclose Additional Pricing Information on Retail Customer Confirmations Relating to Transactions in Fixed Income Securities
Decimalization and Qualification Exams
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Proposed Rule Change Relating to Use of the Alternative Display Facility for Trade Reporting Purposes Only
In response to numerous customer complaints and industry frustration about delays in the transfer of securities accounts from one brokerage firm to another, NASD established the Customer Account Transfer Task Force (Task Force) to consider ways to improve the process of inter-firm customer account transfers. This Report presents the results of the Task Force's deliberations.
