FINRA invites member firms that participate, or plan to participate, in the security-based swap (SBS) market to provide views and information with regard to broker-dealer SBS activities, including the application of FINRA rules to those activities. Any other interested party is also invited to submit views and information. FINRA welcomes views and information on all aspects of SBS activity,
In observance of Memorial Day, the TRACE system will be closed on Monday, May 25, 2020. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.
In observance of Memorial Day, the FINRA Alternative Display Facility (ADF) will be closed on Monday, May 25, 2020. Thank you for your attention to this matter. Please contact FINRA Market Operations at (866) 776-0800 if you have any questions.
In observance of Memorial Day, the Over-the-Counter Reporting Facility (ORF) will be closed on Monday, May 25, 2020. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.
In observance of Memorial Day, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Monday, May 25, 2020. Thank you for your attention to this matter. Please contact FINRA Market Operations at (866) 776-0800 if you have any questions.
Summary
Exchange-traded products (ETPs) provide different types of exposure to the oil market through several product structures, which some investors or investment professionals might not understand.1 Moreover, the performance of such products may be linked to unfamiliar indices or reference benchmarks, making them difficult for the average investor to comprehend. In particular, a
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).
Sample Affidavit - Disciplinary
Sample Affidavit - Expedited
Sample Answer
Sample Case Caption - Disciplinary
Sample Case Caption - Expedited
Sample Case Management and Scheduling Order - Disciplinary
Sample Case Management and Scheduling Order - Expedited
Sample Certificate of Service
Sample Declaration - Disciplinary
Sample Declaration - Expedited
Sample Exhibit
Sample Financial
This version was introduced with the filing of SR-FINRA-2020-015, which has been filed for Immediate Effectiveness. This version is temporary and effective from May 8, 2020 through June 15, 2020, pending any future extensions.
(a) Notice
An Applicant may file a written notice of appeal within 15 calendar days after service of a decision issued under Rule 9620. The notice of appeal shall be
This version was introduced with the filing of SR-FINRA-2020-015, which has been filed for Immediate Effectiveness. This version is temporary and effective from May 8, 2020 through June 15, 2020, pending any future extensions.
(a) Applicability
The hearing procedures under this Rule shall apply to a member, person associated with a member, person subject to FINRA's jurisdiction or other
