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Registration Code Classifications
December 1999
SEC—Year 2000 Recordkeeping Rule
Effective August 31, 1999, the Securities and Exchange Commission (SEC) adopted SEC Rule 17a-9T (the Rule) relative to Year 2000. The Rule, which was originally proposed in March 1999, is intended to assist broker/dealers, the SEC, self-regulatory organizations (SROs), and the Securities Investor Protection Corporation (SIPC) in identifying all
Oh really! But you will let me gamble at 100s of casinos and online gambling sites? !!!
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September 2020
FAQ
Announcements
August 29, 2022New
Sensitive Data Warnings in Form U4 and Form U5
Form U4 and Form U5 now display warnings when sensitive information is
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).
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We are providing instructions on how to use your browser to assist you in reading FINRA’s website in languages other than English. These are general instructions on how to use a third-party provider (in this case, Chrome, Safari, Edge, or Firefox) to translate FINRA web pages into other languages. These browsers cannot translate all types of documents and may not provide an exact
Investors should be wary of schemes on the internet and social media claiming to raise money for companies promising new health care products that detect, treat, or cure COVID-19. While some could be legitimate, many will ring hollow, leaving investors with nothing but broken promises and empty pockets.
FINRA and the FINRA Investor Education Foundation (FINRA Foundation) join securities regulators and investor advocates around the globe to raise awareness about the importance of investor education and protection in recognition of World Investor Week 2020, a global weeklong campaign held Oct. 5-11, which will be celebrated throughout the entire month of October due to the ongoing pandemic.
This Rule applies to all requests to expunge customer dispute information from the CRD system. Except as otherwise provided in this Rule, all provisions of the Code apply to such expungement requests.
(a) Filing an Expungement Request against a Member Firm
(1) Applicability
An associated person may request expungement of customer dispute information from the CRD system by filing a statement of
This Rule applies to all requests to expunge customer dispute information from the CRD system, except that when a party requests expungement of customer dispute information during a simplified arbitration pursuant to Rule 12800(d), only those sections of this Rule that are specifically referenced in Rule 12800(d) through (f) shall apply. Except as otherwise provided in this Rule, all other