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Investor Complaint Program - FINRA
Dispute Resolution Offers Alternatives to Courts FINRA operates the largest securities dispute resolution forum in the United States and has extensive experience in providing a fair, efficient and effective venue to administer securities-related disputes. The forum includes many convenient features, such as: maintaining 69
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FINRA Office of Dispute Resolution Arbitrator’s Guide
www.finra.orgThis Guide contains important information about FINRA Office of Dispute Resolution services, policies and procedures. For additional information, please go to our
Discussion Paper— FINRA Perspectives on …
www.finra.org2 FINRA Perspectives on Customer Recovery | February 2018 claims that arise from other forums or that are against other types of financial firms. A holistic consideration of how customer recovery is or is not addressed across related areas of financial
Regulatory Notice 17-21 - finra.org
www.finra.org1. For purposes of reporting statistical and summary information regarding written customer complaints, firms may use new Problem Code 69 to report information regarding
18-16 - finra.org
www.finra.orgSummary FINRA seeks comment on proposed rule amendments that would impose additional restrictions on member firms that employ brokers with a history of
Firm Fined, Individual Sanctioned Reported for …
www.finra.org4 Disciplinary and Other FINRA Actions ardrr p5o4 State Street Global Markets, LLC (CRD #285852, Boston, Massachusetts) July 11, 2017 – An AWC was issued in which the firm was censured, fined $1,500,000, and
www.finra.org
www.finra.orgFinancial Industry Regulatory Authority Oversight Rules & Guidance FINRA Home About FINRA Newsroom Compliance Tools Contact Firm Gateway Sign In
15-07 - finra.org
www.finra.orgRegulatory Notice 3 cuR †… 15-07 FINRA does not intend Supplementary Material .01 to be an exhaustive list by which firms can make a reasonable determination of compliance with Section 15(a).
Report on FINRA Examination Findings
www.finra.org3 Report on FINRA Examination Findings | December 2017 Selected Examination Findings As the nature and sophistication of cybersecurity threats continue to …
OMB APPROVAL OMB Number: 3235-0045 …
www.finra.orgIf the self-regulatory organization is amending only part of the text of a lengthy proposed rule change, it may, with the Commission's permission, file only those
Regulatory Notice 17-30 - finra.org
www.finra.orgthat for which the person is registered, unless otherwise stated in the rules. In addition, FINRA Rule 1210 addresses the following: (1) requirement to have a minimum number
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FINRA Dispute Resolution Services Arbitrator’s Guide
www.finra.orgFINRA Dispute Resolution Services Arbitrator’s Guide This Guide contains important information about FINRA Dispute Resolution Services’ forum, policies and procedures. For additional information, please go to our website: www.finra.org or call one of our regional offices.
Employment
www.adr.orgIf an employer intends to utilize the dispute resolution services of the Association in an employment ADR plan, it should at least 30 days prior to the planned effective date of the program: (1) notify the Association of its intention to do so; and (2) provide the Association with a copy of the employment dispute resolution plan.
Enforcement of Arbitral Awards and Decrees in India
www.nishithdesai.com§ AsiaLaw Asia-Pacific Guide 2020: Tier 1 (Outstanding) for TMT, Labour & Employment, Private Equity, Regulatory and Tax § FT Innovative Lawyers Asia Pacific 2019 Awards: NDA ranked 2nd in the Most Innovative Law Firm category (Asia-Pacific Headquartered) § RSG-Financial Times: India’s Most Innovative Law Firm 2019, 2017, 2016, 2015, 2014