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Reports Assess Rules on Communications With the Public and Gifts, Gratuities and Non-Cash Compensation
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) issued two Retrospective Rule Review Reports assessing, respectively, the effectiveness and efficiency of
Retrospective Rule Review Report: Communications with the Public
and
Except for arbitration awards, which are publicly available, the documents and information in FINRA Dispute Resolution case files are confidential.
INFORMATIONAL
Dispute Resolution Hearing Location
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Senior Management
Arbitration Dispute Resolution Mediation
Executive Summary
NASD Dispute Resolution has established San Juan, Puerto Rico as an additional hearing location, effective January 1, 2003. This will be the third hearing location established outside of the 48 contiguous
On June 28, 2002, NASD filed with the SEC a rule change to establish November 6, 2002, as the effective date for certain provisions of NASD Rule 2711. This rule change was effective immediately upon filing. First, the rule change establishes, subject to certain conditions, November 6, 2002, as the effective date for Rules 2711(b) and (c) for members that over the previous three years, on average
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has selected J. Bradley Bennett, a partner at the law firm Baker Botts in Washington, DC, as its new head of Enforcement. Bennett will start at FINRA on January 1 and takes over from James Shorris, who has been acting Chief of Enforcement since Susan Merrill departed the organization last March.
WASHINGTON -- The Financial Industry Regulatory Authority (FINRA) today announced the appointment of Susan F. Axelrod as Executive Vice President and head of the organization's Member Regulation Sales Practice area.
SEC Approval and Effective Date for New Consolidated FINRA Rules and the Repeal of Certain NASD and Incorporated NYSE Rules
WASHINGTON – FINRA today published its
Report on Selected Cybersecurity Practices - 2018
, a detailed review of effective information-security controls at securities firms. The report represents the newest initiative in FINRA’s ongoing effort to help broker-dealers – including small firms – further develop their cybersecurity programs.
“Securities firms rate
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).
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) issued two new Regulatory Notices as part of an initiative to conduct retrospective rule reviews on an ongoing basis.