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In observance of Independence Day, the ADF System will be closed on Wednesday, July 4, 2018.
Additionally, please be advised that the ADF system will close early on Tuesday, July 3, 2018. See the table below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Market Operations at (866) 776-0800 if you have any questions.
Market Session
Neutral Corner – Volume 2 – 2018
Mission Statement
Developing an Effective Med-Arb/Arb-Med Process (By Edna Sussman, FINRA Arbitrator and Mediator)
Office of Dispute Resolution and FINRA News
Case Filings and Trends
Portal Reminder
Practising Law Institute (PLI) Securities Arbitration 2018: September 26, 2018
SEC Rule Approval
Special Proceeding for
WASHINGTON — FINRA announced today that a FINRA hearing panel permanently barred broker Bruce Martin Zipper of Miami, FL, for continuing to conduct firm business while serving a three-month suspension. The hearing panel also expelled his firm, Dakota Securities, from FINRA membership for not adequately supervising Zipper, allowing him to associate while suspended (and later while statutorily
Atlanta, GA
July 12, 2018
Agenda
8:00 a.m. – 8:30 a.m.
Registration
Continental Breakfast
8:30 a.m. – 8:45 a.m.
Introduction
Welcome Remarks
9:15 a.m. – 11:00 a.m.
Session 1 – Supervision
Discuss highlights of the consolidated supervision rules
Discuss FINRA Rule 3110, including background information
Monthly Disciplinary Actions June 2018
As recently announced, NASDAQ OMX PSX (PSX) is a new equity trading platform scheduled to launch in the second quarter of 2010, pending Securities and Exchange Commission (SEC) approval.
At the 2018 FINRA Annual Conference in Washington, DC, several members of FINRA’s Board of Governors joined Marcia Asquith, FINRA Executive Vice President, Board and External Relations, in a discussion aimed at shedding light upon FINRA’s governance structure and processes.
eFocus Filing Transmission
Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
The Securities and Exchange Commission is in the midst of tackling a number of issues that affect broker-dealers and customers. During FINRA’s Annual Conference, SEC Chairman Jay Clayton joined FINRA President and CEO Robert Cook for a conversation about these securities industry trends. The two discussed the SEC’s approach to standard of conduct rules, the impact of cryptocurrencies and