With the statutory emphasis placed on specific procedures for SRO rulemaking — and with FINRA’s seemingly continuous flow of rule changes, amendments, and interpretations,
In this piece, we analyze some of the uses one can make of FINRA’s Hearing Locations table.
Click a link called “table format” above the map of the United States that appears in FINRA-DR’s monthly statistical report on its operations and a “Hearing Locations” table appears on the computer screen.
While FINRA frowns on brokers who fail to pay arbitration awards and fees, a worse offense is testifying falsely during the proceeding; it can bring a permanent end to one’s career in the industry,
After reporting on the appearance of FINRA CEO Robert Cook before a House Subcommittee last week, we thought we’d take a more intensive look at FINRA’s diversity efforts.