Effective Date: January 1, 1999
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
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests membership comment on a proposed Corporate Financing Rule that, if
See link to FINRA Regulatory Notices 21-31, which includes the schedule and instructions:
https://www.finra.org/sites/default/files/2021-09/Regulatory-Notice-21-31.pdf
SECTION 1. REVERSE REPURCHASE AND REPURCHASE AGREEMENTS
Question 1.1: The instructions under Section 1 state in part that members should report the gross contract value of all reverse repurchase and repurchase agreements by
This Interpretive Material sets forth a membership application process for those firms that must become FINRA members due to amendments to SEA Rule 15b9-1, as adopted by the SEC on August 23, 2023. This membership application process is available only to SEC-registered, non-FINRA member firms that must become FINRA members due to the amendments to SEA Rule 15b9-1 and, as of August 23, 2023, have
(a) After the panel is appointed, the Director will schedule an Initial Prehearing Conference before the panel, except as provided in paragraph (c) of this rule.
(b) The Initial Prehearing Conference will generally be held by telephone. Unless the parties agree otherwise, the Director must notify each party of the time and place of the Initial Prehearing Conference at least 20 days before
(a) After the panel is appointed, the Director will schedule an Initial Prehearing Conference before the panel, except as provided in paragraph (c) of this rule.
(b) The Initial Prehearing Conference will generally be held by telephone. Unless the parties agree otherwise, the Director must notify each party of the time and place of the Initial Prehearing Conference at least 20 days before
(a) The term "Browse" shall mean the function that permits a Participant to review (or query) for trades in the System identifying the Participant as a party to the transaction, subject to the specific uses contained in the System Users Guide.
(b) The term "Clearing Broker-Dealer" or "Clearing Broker" shall mean the member firm that has been identified in the System
(a) A certificate shall not be a good delivery with an assignment or power of substitution executed by a: (1) person since deceased; (2) trustee or trustees, except as provided in paragraph (b) of this Rule, or except for trustees acting in the capacity of a board of directors of a corporation or association, in which case Rule 11571(a) shall apply; (3) guardian, except as provided in paragraph (
For disputes involving statutory employment discrimination claims, sexual assault claims, and sexual harassment claims, see Rule 13802.
(a) Appointment of Arbitrators in Disputes Between Members
(1) If the panel consists of one arbitrator, the Director will appoint the highest-ranked available arbitrator from the combined non-public chairperson list.
(2) If the panel consists of three
Accessing the FormIf you have credentials for a FINRA system, you do not have to create a new account — you can use your established credentials to access the Rule 2080 Waiver Request Form.Attorneys can use the same credentials used for the DR Portal.Current and former registered representatives can use the same credentials used for FinPro.Broker-dealer firms requesting a waiver on behalf of a
