WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today the launch of a pilot program offering parties in simplified cases pro bono or reduced-fee telephone mediation. Participation in the pilot program, which began on January 15, is voluntary and open to cases involving claims of $50,000 or less.
Rulemaking items discussed at the September 2010 meeting include:
arbitration,
disclosure,
statutory disqualifications,
executive compensation, and
regulatory proposal notification.
Executive Summary
The purpose of this Notice is to advise members of the Regional Nominating Committee Nominees for the 1999 National Adjudicatory Council (NAC). Pursuant to nomination procedures outlined in Special Notice to Members 98-62, nominees for NAC are presented to the membership. If an officer, director, or employee of a National Association of Securities Dealers, Inc. (NASD®) member
Variable annuity and variable life insurance products (collectively, “variable insurance products" or “variable products”) are being marketed and sold to a large number of investors. While variable insurance products may be appropriate investments for some investors, concerns have been raised about the sale of these products. This prompted the staffs of the Securities and Exchange Commission
Executive Summary
The annual meeting of FINRA firms will take place on or about Monday, August 19, 2019, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about July 19, 2019.
The purpose of this Election
Rule 3070
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Rule 3070
Reporting Requirements
Executive Summary
On March 3, 2003, the Securities and Exchange Commission (SEC) approved SR-NASD-2002-112, a proposal to amend NASD Rule 3070 to require members promptly to file with NASD copies of certain criminal and
/**/
This user guide provides Super Account Administrators (SAAs) and Account Administrators (AAs) with the requirements of the FINRA Entitlement Program and instructions and tips for how to navigate the Account Management System of the FINRA Entitlement Program.i Responsibilities for Managing Account Accessii Best Practices for Managing Account AccessSection 1: Super Account Administrator (SAA
Under Rule 2710, a broker/dealer may pay finder's fees to a joint venture for the referral of issuers that are potential corporate finance clients. If the joint venture is not required to be registered as a broker/dealer, such payments would not violate Rule 2420.
The Best Execution section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) is pleased to announce the SEC's recent approval of a FINRA rule change to limit self-trading. This change to FINRA Rule 5210 requires firms to have policies and procedures in place that are reasonably designed to review their trading activity for, and prevent, a pattern or practice of self-trades resulting from orders originating from a single algorithm or trading desk, or related algorithms or trading desks.
