GUIDANCEArbitration Chairperson SelectionEffective Date: September 17, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceArbitrationArbitratorsDispute ResolutionExecutive SummaryThe Securities and Exchange Commission has approved amendments to Rule 10308 of the NASD Code of Arbitration Procedure to reduce the time allotted for the selection of a chairperson in an arbitration proceeding.
GUIDANCEArbitrator Panel Training FeeEffective Date: September 16, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceArbitratorsArbitrationFeesExecutive SummaryOn June 16, 2004, the Securities and Exchange Commission (SEC) approved an NASD proposal to increase the fee for arbitrator panel training from $100 to $125.1 The fee change is effective on September 16, 2004.Questions/Further
SEC Approves New FINRA Rule 4524 Requiring the Filing of Supplemental FOCUS Information and a Supplementary Schedule to the Statement of Income (Loss) Page of the FOCUS Report
FINRA Provides Guidance on Application of Communications Rules to Disclosures Required by Department of Labor
FINRA and ISG Delay Effective Date for Enhanced Electronic Blue Sheet Submissions
FINRA Requests Comment on Proposed Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items
FINRA Reminds Firms of Rule 5131(d)(4)'s Prohibition on Accepting Market Orders for the Purchase of New Issues Prior to the Commencement of Trading on the Secondary Market
GUIDANCEEligibility ProceedingsEffective Date: March 7, 2005SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesRegistered RepresentativesLegal & ComplianceSenior ManagementClerical and Ministerial ActivitiesMC-400 ApplicationRule 9520 SeriesEligibility ProceedingsRule 9522Statutory DisqualificationExecutive SummaryNASD's Rule 9520 Series sets forth NASD's eligibility
Beginning on February 26, 2024, FINRA will re-platform the TRACE for Treasuries (TS) product to a new Linux-based operating system. This project does not require client changes to be made.
Each participant will be charged a monthly fee for use of the FINRA/NYSE Trade Reporting Facility. The monthly fee will be calculated as follows:
(a) If the participant submits one or more trade reports to the FINRA/NYSE Trade Reporting Facility during a given calendar month, the participant will pay a monthly fee equal to the sum of (i) $1,000 plus (ii) $0.0055 per published tape report.
(b)