Within 21 days after the filing of a notice of appeal pursuant to Rule 9311 or notice of call for review pursuant to Rule 9312, or at such later time as the National Adjudicatory Council may designate, the Office of Hearing Officers shall assemble and prepare an index to the record, transmit the record and the index to the National Adjudicatory Council, and serve copies of the index upon all
As the head of FINRA’s National Examination Program, Michael Solomon oversees a team of approximately 750 examiners and managers who complete more than 1,000 sales practice and financial exams annually. He also leads the Membership Application Program and the Statutory Disqualification Program.Mr. Solomon is responsible for overseeing all aspects of the Examinations program, including strategic
The Financial Industry Regulatory Authority (FINRA) announced today that it is seeking authority to significantly expand the amount of information available to the public on current and former securities brokers through its free online BrokerCheck service.
SEC Approves And Adopts Revised Forms And Electronic Filing Requirement; New Member Applicants Should Continue To File Paper Forms
Suggested Routing
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered
SEC Approves Changes To Rule 4613—Firm Quotation Requirements; Effective Date: August 2, 1999
Suggested Routing
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
SuperMontage
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
SuperMontage
Executive Summary
On May 28, 2002, the Securities and Exchange Commission (SEC) approved amendments made by The Nasdaq Stock Market, Inc. (NASDAQ®) to NASD
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that effective October 15, 2012, Greg Ahern will join FINRA as Executive Vice President for Corporate Communications and Government Relations.
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) Request for Oral Argument
A Party may request oral argument before the Subcommittee or, if applicable, the Extended Proceeding
/**/
Table of Contents
PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION AND AUTHORITY
IM-12000. Failure to Act Under Provisions of Code of Arbitration Procedure for Customer Disputes
12100. Definitions
12101. Applicability of Code and Incorporation by Reference
12102. National Arbitration and Mediation Committee
12103. Director of FINRA Dispute Resolution Services
12104.
Precious metals IRA frauds frequently target older workers and retirees because they typically have more money saved in their qualified retirement accounts than younger people. Before you consider rolling over your retirement plan to a gold or silver IRA, here are 10 questions you should ask.
