At the conclusion of an arbitration, an arbitrator may refer any matter to FINRA for disciplinary investigation that has come to the arbitrator's attention during and in connection with the arbitration.
The rules of Finra need to be changed. They may have been created to help reduce the predatory practices of unscrupulous brokers and protect individuals from such practices, and there may be a need to protect individuals from themselves, but we each bear the responsibility of knowing what we are doing at any given time. I have traded stocks, options, futures and forex. It is a lifelong process,
FINRA experienced an issue on December 23, 2024 with the processing of Weekly OTC Transparency Data, thereby causing a publication delay for the week of November 18, 2024 (NMS Tier 2 and OTCE). FINRA is working on resolving the issue and will provide an update once the issue is resolved.If you have any questions, please contact FINRA Business Services.
SEC Approves Amendments to the Customer and Industry Codes of Arbitration Procedure Regarding Required Use of the Dispute Resolution Party Portal
SEC Approves Amendments to Arbitration Codes to Revise the Definitions of Non-Public and Public Arbitrator
SummaryThe purpose of this Election Notice is to: (1) notify members of an upcoming election to fill one large firm seat and one small firm seat on the National Adjudicatory Council (NAC); (2) announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies; and (3) describe the procedures to be included as an additional large or small firm
SEC Approves Amendments to the Customer and Industry Codes of Arbitration Procedure Broadening Chairperson Eligibility in Arbitration
FINRA Dispute Resolution has received inquiries from lawyers who represent investors and those who represent investment advisers (IAs) which are not FINRA members about the availability of FINRA’s arbitration and mediation forum to resolve their disputes.
The Trade Reporting and Compliance Engine (TRACE) is the FINRA-developed vehicle that facilitates the mandatory reporting of over-the-counter transactions in eligible fixed income securities. All broker-dealers who are FINRA member firms have an obligation to report transactions in TRACE-eligible securities under an SEC-approved set of rules.
In observance of Christmas, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Wednesday, December 25, 2024. In observance of New Year's Day, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Wednesday, January 1, 2025.
