This Code was superseded by the Customer Code (Rule 12000 Series) and the Industry Code (Rule 13000 Series) on April 16, 2007, for claims filed on or after that date. The Code remains in effect, however, for cases filed before April 16, 2007.
This Code was superseded by the Customer Code (Rule 12000 Series) and the Industry Code (Rule 13000 Series) on April 16, 2007, for claims filed on or after that date. The Code remains in effect, however, for cases filed before April 16, 2007.
SUGGESTED ROUTING*
Senior Management GovernmentInternal AuditLegal & ComplianceOperationsTradingTraining
*These are suggested departments only. Others may be appropriate for your firm.
Executive Summary
The Securities and Exchange Commission has approved an amendment to Article V, Section 1 of the NASD Rules of Fair Practice that removes the current fine limitation of $15,000 per
Proposed Changes to the Personnel Assessment and Gross Income Assessment Fees
I do not wish to have regulations impose on my rights to invest. This proposed Rule will be violating my constitutional right to chose once again! You chose to focus on those you continue to pass funds to bailout! Companies that have mismanaged their funds.
Your proposal is treating investors like children. I am opposed to ptoposed rule S7-24-15. I have a PhD in business administration and am capable of deciding my own investment strategy without the hoops you propose for investors to jump through.
I absolutely oppose the new restrictions proposed in SEC Rule S7-24-15. This is another example of government over-reach. Stop it. Now! Let all the little guys in this country continue to do what has made this country the greatest free market in the world!
we have lost faith in the markets , Transparency is very important . Please help us . short sellers are ruling the markets and have full control over it .
Proposed Rule Change to Amend FINRA's Customer and Industry Codes Of Arbitration Procedure Relating to Subpoenas and to Arbitrator Authority to Direct Appearances of Associated Person Witnesses and Production Of Documents Without Subpoenas
Proposed Rule Change to Amend FINRA Dispute Resolution’s By-Laws to Clarify That Services Provided by Mediators Should Not Cause Them to Be Classified as Industry Members under the By-Laws
