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Statistics on Unpaid Customer Awards in FINRA Arbitration
Arbitration cases decided by award in the forum operated by FINRA represent a small subset of all cases closed involving customer disputes. The vast majority of customer cases close by settlement – not award.
Notice to Members 97-76
SUGGESTED ROUTING Legal & Compliance Operations Systems Trading Executive Summary The Nasdaq Stock Market, Inc. (Nasdaq®) Board of Directors approved, and the National Association of Securities Dealers, Inc. (NASD®) Board of Governors rati- fied, a decision to allow NASD Rule 4613(d)—the "excess spread" rule for Nasdaq securities—to lapse as of October
Notice To Members 90-10
SUGGESTED ROUTING* Senior Management Corporate Finance Legal & Compliance Syndicate Training *These are suggested departments only. Others may be appropriate for your firm. MAIL VOTE EXECUTIVE SUMMARY NASD members are invited to vote on a proposed Corporate Financing Rule (the "Rule") that, if adopted, would replace the
Notice to Members 99-74
Special NASD Notice to Members 99-74 Suggested Routing Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading
Regulatory Notice 22-02
Summary FINRA has amended, with immediate effectiveness, the provisions of FINRA Rule 2251 regarding rates of reimbursement for expenses incurred in processing and forwarding proxy and other issuer-related materials.1 As specified in more detail below, the amendments apply the notice and access fees set forth under the rule to the distribution of investment company shareholder reports
BrokerCheck Glossary
The following glossary of terms is intended only for use by BrokerCheck users to assist them in better understanding a BrokerCheck report. Please note that these terms may have slightly different or more specific meanings in other contexts.
Notice to Members 99-33
Comment Period Expires May 31, 1999 SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration
SEA Rule 15c3-1a Appendix A and Related Interpretations
Publication Date: February 23, 2023 Interpretations are marked in blue background beneath the rule text to which they relate. 15c3-1a Options (Appendix A to 17 CFR 240.15c3-1). 15c3-1a(a) Definitions. 15c3-1a(a)(1) The term unlisted option shall mean any option not included in the definition of listed option provided in paragraph (c)(2)(x) of § 240.15c3-1. 15c3-1a(a)(2) The term option
Testimony Before the Finance and Hazardous Materials Subcommittee of the Commerce Committee
The NASD would like to thank the Subcommittee for this opportunity to testify on organized crime in the securities markets, the scope of the problem and our efforts to address it.
Regulatory Notice 11-32
FINRA Provides Additional Guidance Regarding Reporting Requirements Under Rule 4530