This notification is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the domain name “@rfs-finra.org”.
(a) Except as provided in paragraph (b) of this Rule, Rule 13800, and Rule 13807(f), FINRA will pay the panel an honorarium, as follows:
(1) $300 to each arbitrator for each hearing session in which he or she participates;
(2) an additional $125 to the chairperson for each prehearing conference in which he or she participates;
(3) an additional $250 per day to the chairperson for each hearing
FINRA in compliance with the provisions of the Americans with Disabilities Act (ADA) provides testing modifications and aids to candidates with disabilities and/or learning impairments that substantially limit a major life activity (e.g., learning, speaking, hearing, vision).
(a) Applicability
This Rule applies to claims that request expungement of customer dispute information filed by an associated person against a member firm, pursuant to Rule 13805. Except as otherwise provided in this Rule, all provisions of the Code apply to such claims.
(b) Selection of Panel
(1) The list selection algorithm shall randomly select three public arbitrators who are eligible for
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Table of Contents
PART I INTERPRETIVE MATERIAL, DEFINITIONS,
Heather Seidel is Chief Counsel in the Office of Regulatory Economics and Market Analysis. In this capacity, Ms. Seidel serves as a member of the leadership team, advising on policy formation and providing expert interpretative guidance on regulatory, policy and legal matters. She also works in partnership with colleagues in the Regulatory Operations departments, the Office of General Counsel and
As Senior Vice President of Advanced Analytics, Brad Ahrens oversees FINRA’s analytics strategy and implementations—including machine learning, artificial intelligence and data visualization—to further enable investor protection and safeguard the financial markets. He also chairs FINRA’s Advanced Analytics Leadership Team, which is charged with identifying and deploying analytics opportunities
The FINRA Test Facility (NTF) for ORF is currently unavailable for testing. FINRA will notify clients when NTF is back online.
Production systems are unaffected.
Please contact FINRA Product Management or call (866) 899-2107 with questions regarding this notice.
