SEC Approval and Effective Date for New Consolidated FINRA Rules
The Trading Examinations Unit (“TEU”) within the Trading and Market Making Surveillance (“TMMS”) group of the Market Regulation Department at FINRA is conducting a review of the Firm’s controls and processes in connection with the development and use of trading algorithms , as well as controls surrounding automated trading technology.
Proposed Changes to the Personnel Assessment and Gross Income Assessment Fees
Note: Only NASD member Executive Representatives are allowed to vote. Ballots with voting instructions were distributed with the print version of this Notice.
ACTION REQUESTED
NASD By-Law Amendments
Last Voting Date: January 22, 2001
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Corporate Governance
NASD By-Laws
Executive Summary
The
Background information about FINRA Contact System (FCS) and related Notices.
The BrokerCheck dispute process, as defined in FINRA Rule 8312(e), allows eligible individuals and FINRA firms to dispute or update the accuracy of information that is disclosed in their own BrokerCheck reports.
On this page you will find information on eligibility, the BrokerCheck Dispute Form and instructions on how to submit a dispute.
Who Can Submit a Dispute?
Any current or former FINRA
SEC Approves Amendments Expanding the Definition of "TRACE-Eligible Security"
FINRA Reaffirms Its Guidance in NTM 00-02 on Soliciting Business in Foreign Jurisdictions and Withdraws NTM 98-91
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.
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
