(a) Filing Claim with the Director
To initiate an arbitration, a claimant must file the following with the Director:
(1) Signed and dated Submission Agreement; and
(2) A statement of claim specifying the relevant facts and remedies requested.
The claimant may include any additional documents supporting the statement of claim.
(b) Fees
At the time the
This rule is no longer applicable. Incorporated NYSE Rule Interpretations have been superseded by Temporary Dual FINRA-NYSE member Rule Series. Please consult the appropriate FINRA Rule.
/01 Automatic Money Market Fund Redemptions
Member organizations that establish an automatic money market fund redemption program for customers having both a securities and money fund account, wherein the
This rule is no longer applicable. NASD Rule 3140 has been superseded by FINRA Rule 1020. Please consult the appropriate FINRA Rule.
(a) Application — For the purposes of this Rule, the term "member" shall be limited to any member of the Association who is subject to SEC Rule 15c3-3 and is not designated to another self-regulatory organization by the Commission for financial
The Discovery Guide is a helpful reference to help you manage expectations regarding documents the other Party might request. FINRA provides the Discovery Guide for customer cases only. This Guide outlines the documents that Parties should exchange without Arbitrator or staff intervention.The Discovery Guide contains two Document Production Lists of presumptively
FINRA’s Corporate Internship Program—a paid 12-week program—offers practical “hands-on” experience with the largest self-regulatory organization for securities firms doing business in the United States. Our program offers interns opportunities to build their careers—and supplement what they’ve learned in the classroom—by meeting and working with employees throughout our organization.Our program
Summary
The purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns, and consulting with FINRA on proposed policies and
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
In accordance with
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education Testing/Qualifications
Legal & Compliance
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (Council) has issued a Firm Element Advisory, a guide for firms to use when developing their
Use FINRA Gateway Reports to pull up a list of individuals at your firm who have received a credit for an exam.
If you want a list of individuals with a particular Series exam, you can use the Filter tool. Whereas the Group method categorizes all individuals at your firm by exam type, the Filter method will return a list of only those individuals who have a specific exam. In this use case, we
(a) Persons Subject to Sanctions
If a Party, attorney for a Party, or other person authorized to represent others by Rule 9141, engages in conduct in violation of an order of a Hearing Officer, a Hearing Panel or, if applicable, an Extended Hearing Panel, or other contemptuous conduct during a proceeding, a Hearing Officer, Hearing Panel or, if applicable, an Extended Hearing Panel, may
