(a) Conditions and Restrictions
(1) Motion for Conditions or Restrictions
Unless otherwise ordered by a Hearing Officer, within 10 days after service of a notice of appeal from, or the notice of a call for review of, a decision issued pursuant to Rule 9268 or Rule 9269 in which the Hearing Panel or, if applicable, the Extended Hearing Panel or the Hearing Officer finds that a Respondent
Submit to FINRA a signed/notarized hard copy CRD printout of Form BD. Make sure the firm’s Financial and Operations Principal (FINOP) is listed on Schedule A of Form BD.
Submit Form BR requesting registration of at least one branch office location. Learn more about branches on the Manage a Branch Office Registration page.
Request principal registration for at least two qualified
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
FINRA Requests Comment on Potential Enhancements to Certain Engagement Programs
Term
Description
Exceptions Periods
Date of all listed options position, as reported.
Total Number of Exceptions
Total number of issues reported during the period.
Large Options Positions Reported (LOPR) - Listed Detail Data
Term
Description
Position Date
The position date.
Exception ID
A FINRA generated exception
WASHINGTON – FINRA announced today the election or appointment of five industry members to its 22-member Board of Governors.
Seven of the 10 industry seats on FINRA’s Board are decided via election, and large, mid-size and small firms decide the Governors who represent their respective firm categories in those seats. At the Annual Meeting of FINRA Firms on Sept. 1, firms elected the following
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Executive Summary
The National Association of
Any member of FINRA that is also a member of the New York Stock Exchange LLC ("NYSE") ("Dual Member") (including any persons affiliated with such member) may be subject to a fine under Rule 9216(b) with respect to any rule or By-Law provision listed in this Rule that applies to such member or person. However, any Dual Member that was not also a member of NASD as of July 30,
Guidance on Social Networking Websites and Business Communications
INFORMATIONAL
Limit Order Protection
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Limit Order Protection
OTCBB
Executive Summary
On February 8, 2001, the Securities and Exchange Commission (SEC) approved new National Association of Securities Dealers, Inc. (NASD®) Rule 6541 (Rule), which, on a pilot basis, applies
