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FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist. Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
SEC Approves Amendments to the Customer and Industry Codes of Arbitration Procedure Regarding Required Use of the Dispute Resolution Party Portal. SEC Approves FINRA’s Capital Acquisition Broker (CAB) Rules. SEC Approval of FINRA Funding Portal Rules and Related Forms.
SEC Approves Amendments to the Customer and Industry Codes of Arbitration Procedure Regarding Required Use of the Dispute Resolution Party Portal. SEC Approves FINRA’s Capital Acquisition Broker (CAB) Rules. SEC Approval of FINRA Funding Portal Rules and Related Forms.
The FINRA Arbitration Process includes the Code of Arbitration Procedure for Customer Disputes, simplified arbitration for cases involving $25,000 or less, and cooperation in document exchange and information sharing.
A Practice Note describing the necessary steps for initiating and conducting an arbitration of an industry dispute in the US before the Financial Industry Regulatory Authority (FINRA) under the FINRA Code of Arbitration Procedure for Industry Disputes.
The dispute is between a customer and a member or associated person of a member; and. The dispute arises in connection with the business activities of the member or the associated person, except disputes involving the insurance business activities of a member that is also an insurance company.
$2,000. The arbitration process is governed by a set of rules known as the FINRA Code of Arbitration Procedure. For investor cases, it may be found at: https://www.finra.org/arbitration-mediation/printable-code-arbitration-procedure-12000 .
Rules & Case Resources. On this page, you will find all of the rules, scripts, templates and forms that parties and neutrals will need during the course of an arbitration or a mediation. For more information, please contact your case administrator or your regional office.
Accordingly, FINRA is proposing to amend Funding Portal Rule 900(a) (Application of FINRA Rule 9000 Series (Code of Procedure) to Funding Portals), to clarify that funding portals would not be subject to proposed FINRA Rule 9561. See Notice at 78550 note 46.
FINRA is proposing to amend the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and the Code of Arbitration Procedure for Industry Disputes (“Industry Code”) (together, “Codes”) to modify the current process relating to the expungement of customer dispute information.