FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
(a) Documents to be Available for Inspection and Copying
(1) Unless otherwise provided by this Rule, or by order of the Hearing Officer, the Department of Enforcement shall make available for inspection and copying by any Respondent, Documents prepared or obtained by Interested FINRA Staff in connection with the investigation that led to the institution of proceedings. Such Documents
(a) Each member shall maintain the following information:(1) for each account: (A) customer's name and residence;(B) whether customer is of legal age;(C) name(s) of the associated person(s), if any, responsible for the account, and if multiple individuals are assigned responsibility for the account, a record indicating the scope of their responsibilities with respect to the account
GUIDANCEArbitration Chairperson SelectionEffective Date: September 17, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceArbitrationArbitratorsDispute ResolutionExecutive SummaryThe Securities and Exchange Commission has approved amendments to Rule 10308 of the NASD Code of Arbitration Procedure to reduce the time allotted for the selection of a chairperson in an arbitration
Dissemination of Qualified Contingent Trades Reported to FINRA
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Enhancements to FINRA’s May 18, 2018 Disclosure Review Process Relating to Public Financial Records
Many disputes that do not settle in mediation end with the declaration, “We can do better at trial.” But as the parties and mediator leave the room, they may ask
themselves if that assertion is accurate.
Notice of FINRA Small Firm Advisory Board Election and Ballots
