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(a) Composition of Panels
The arbitrator will be a public arbitrator selected from the public chairperson roster, unless the parties agree in writing otherwise.
(b) Generating Lists
(1) The list selection algorithm will generate a list of 10 public arbitrators from the FINRA chairperson roster.
(2) The list selection algorithm will exclude arbitrators from the lists based upon current
Saving for retirement can get complicated for military spouses on the move, but you can still make the most of tax-advantaged retirement savings plans.
Proposed Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
GUIDANCE
NASD's Trading and Quotation Halt Authority Expanded
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Trading
IM-6660-1
OTC Equity Securities
QuotationsRule 6660
Trading Halts
Executive Summary
On December 18, 2006, the Securities and Exchange Commission
(SEC) approved amendments to NASD Rule 6660 to expand the
GUIDANCE
Taping Rule
Effective Date: August 1, 2005
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Rule 3010
Taping Rule
Executive Summary
On May 5, 2005, the Securities and Exchange Commission approved amendments to paragraph (L) of Rule 3010(b)(2) (Taping Rule or Rule). The amendments require
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The Department of the Treasury is soliciting comments on proposed amendments to the implementing regulations of the Bank Secrecy Act. Also known as the Currency and Foreign Transactions Reporting Act of 1970, these regulations govern the payment, receipt or transfer of currency or other monetary instruments; the export or import
Member firms that fail to repair and resubmit rejected ROEs may be in violation of NASD Rule 6955 and may also be considered to be in violation of NASD Rule 2110.
<p>Applicability of Rule 3230 to a three-party clearing agreement.</p>
Overview
The Broker-Dealer Written Supervisory Procedures Checklist ("WSP Checklist") is an outline of selected key topics representative of the range of business activities typically proposed by applicants seeking approval to become FINRA members or to expand their existing securities business under FINRA Membership and Registration Rules.
As part of the new member application
The MSRB G-32 Report Card is a monthly status report to help firms evaluate the timeliness of their required filings under Municipal Securities Rulemaking Board (MSRB) Rule G-32. Amended Rule G-32, which became effective on June 1, 2009, consolidated the filing requirements of former Rule G-36 and the official statement delivery requirements of Rule G-32. The new rule establishes the MSRB's