FINRA takes disciplinary actions against firms and individuals for violations of NASD rules; federal securities laws, rules, and regulations; and the rules of the Municipal Securities Rulemaking Board.
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on Business Continuity Plans and Emergency Contact Information
Comment Period Expires: April 30, 1997
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Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment on new NASD® Rule 2460 that would restrict the payment of "finders" or referral fees by NASD members to unregistered third parties for the referral
Proposed Rule Change to Amend the Discovery Guide Used in Customer Arbitration Proceedings
Proposed Rule Change to Amend FINRA Rule 12403 of the Code of Arbitration Procedure for Customer Disputes to Simplify Arbitrator Selection in Cases with Three Arbitrators
2013 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Proposed Amendments to FINRA Rule 6440 (Trading and Quotation Halt in OTC Equity Securities)
FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning
