Tag: FINRA

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Compliance Enforcement Featured Articles

FINRA 2022 Exam Priorities

It is always good to know what regulators are going to focus on, and to prepare for that exam. Today seclaw.com/glossary/finra/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>FINRA released its 2022 Report on Examination and Risk Monitoring Program (the Report). While not a road map  it provides firms with information that may help inform their compliance programs. […]

Arbitration

FINRA Discovery Guide

Discovery has always been a problem in litigation matters. In broad strokes, plaintiffs want to see every document that might possibly have any bearing on any issue in the case, and defendants don’t want to produce a single document. The courts and arbitration panels spend a significant amount of time […]

FINRA Office
Brokers Compliance

Rule 8210 – How You Respond Makes a Difference

For FINRA member firms, and employees of FINRA firms (even those who are not registered) seclaw.com/glossary/finra-rule-8210/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books) gives FINRA the authority to request documents and testimony from firms, registered persons and, in FINRA’s view, other persons and entities […]

FINRA Office
Compliance

Recent FINRA Rule Filings

When FINRA decides to change or modify any of its rules, or to add a new rule, it is required to provide notice to its members and the general public regarding the modification or addition and to allow for comment. It does this by a Notice of Rule Filing, which […]

Arbitration

FINRA Arbitration Forms

Scheduling Order (PDF format 86 KB) The panel Chairperson has the responsibility to use the Scheduling Order to record the agreements reached during the Initial Prehearing Conference. The Chairperson should submit the Scheduling Order to NASD Dispute Resolution within 48 hours of the conference by electronic mail or facsimile transmission. […]

Brokers

SIA Opposes New Expungement Rule Proposal

Cites “Dangerous and unmistakable message that…arbitration panels cannot be trusted” SIA COMMENTS ON NTM 01-65: The Securities Industry Association responded, in a letter dated December 31, 2001, to NASD’s request for comment on a proposal to revise its rules and policies on expungement. The letter, signed by SIA SVP and […]