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Posts tagged "FINRA Rule Watch"

Proposed FINRA Rule Change to Amend the Discovery Guide Used in Customer Cases to Provide Guidance on Electronic Discovery, Product Cases and Affirmations - South Florida FINRA Arbitration Attorney

Proposed Rule Change to Amend the Discovery Guide Used in Customer Arbitration Proceedings to Provide Guidance on Electronic Discovery Issues and Product Cases and to Clarify the Existing Provision Relating to Affirmations:

Notice of Adoption of Final Rule for Broker - Dealers Engaging in a Retail Forex Business - South Florida Retail Forex FINRA and NFA Arbitration Attorney

Adoption of Final Rule for Broker-Dealers Engaging in a Retail Forex Business

Proposed Rule Change to Amend FINRA Dispute Resolution's By-Laws to Clarify That Services Provided by Mediators Should Not Cause Them to Be Classified As Industry Members under the By-Laws

The Financial Industry Regulatory Authority, Inc. ("FINRA") recently filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the By-Laws of FINRA Dispute Resolution, Inc. (By-Laws) to clarify that services provided by mediators, when acting in such capacity and not representing parties in mediation, should not cause the individuals to be classified as Industry Members under the By-Laws.

Proposed FINRA Rule Change Relating to Margin Requirements

The purpose of this post is to provide the reader with information relative to recently proposed or adopted rule changes issued by the Financial Industry Regulatory Authority (FINRA), in addition to Guidance Releases relating to the interruptation of these rules. This information is being provided for informational purposes only. Thus, it should not be relied upon as legal advice, Also, the information provided below is subject to withdrawal, revocation and modification by FINRA, which may or may not be reflected on this site. Consequently, the reader should contact a qualified professional concerning the current status of any of the information referenced below.

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