Notice to Arbitrators and Parties on Expanded Expungement Guidance
FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. I understand FINRA is attempting to create a fairer and transparent market but without strict reporting policies in place you
INFORMATIONAL
District Elections
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District Elections
Executive Summary
Through this Notice, the National Association of Securities Dealers, Inc. (NASD®) announces the election results for the District Committees and the District Nominating Committees. The newly elected
Customer Option to Choose an All Public Arbitration Panel in All Cases
Comment Period Expires January 31, 1995
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Senior ManagementLegal & ComplianceRegistration
Executive Summary
The National Association of Securities Dealers, Inc. (NASD) requests comments on a proposed amendment to Article III of the Rules of Fair Practice (Rules) to require members to report to the NASD the occurrence of specified events and quarterly summary
On October 25, 2001, the SEC adopted amendments to Rules 17a-3 and 17a-4. The purpose of this Notice is to address some frequently asked questions about the SEC requirements.
A free market system is exactly what we need. When I say free market I mean the ability of the retail investor to make their own decisions based on their own personal risk/reward assessment. Retail investors are legal adults who are rational and responsible for their own actions. Retail investors are quite capable of using their own judgement to manage their money. Every responsible adult is
FINRA has observed that bad actors are using sponsored search result ads to impersonate some FINRA member firms’ support centers. When an individual clicks on the ad, instead of being directed to the firm’s page, they’re taken to a fraudulent website. The scammers then attempt to steal funds or personal information from their targets.
The Best Execution Outside-of-the-Inside (BE) report card is a monthly status report detailing the number of transactions reported to a FINRA Facility (i.e., a FINRA Trade Reporting Facility or FINRA's Alternative Display Facility) in which your firm participated that were executed Outside-of-the-Inside market in apparent violation of the Best Execution Rule. If non-compliance with the Best
This version was introduced with the filing of SR-FINRA-2020-015, which has been filed for Immediate Effectiveness. This version is temporary and effective from May 8, 2020 through June 15, 2020, pending any future extensions.
(a) Applicability
The hearing procedures under this Rule shall apply to a member, person associated with a member, person subject to FINRA's jurisdiction or other
