Αποτελέσματα Αναζήτησης
An Applicant may file a written notice of appeal within 15 calendar days after service of a decision issued under Rule 9620. The notice of appeal shall be filed with the Office of General Counsel of FINRA, with a copy of the notice also provided to the appropriate department or staff of FINRA.
General Inquiries. FINRA Support Center. 1700 K Street, NW. Washington, DC 20006. 301-590-6500. email. Please select from the topics below to schedule a call with a FINRA agent in your time zone. FINRA’s Registered Agent. If you have any issues or questions, please reach out to us.
review of disciplinary proceeding by national adjudicatory council and finra board; application for sec review 9310. Appeal to or Review by National Adjudicatory Council
FINRA has a number of tools to deter and remedy misconduct by member firms and the individuals they hire, including review of membership applications, focused examinations, risk monitoring and disciplinary actions.
17 Αυγ 2009 · This booklet contains important information about FINRA Dispute Resolution services, policies, and procedures. For additional information, please go to http://www.finra.org/ArbitrationMediation/index.htm or call one of our regional offices. Overview of FINRA Dispute Resolution.....5
Decisions by COP can be appealed. During appeal, no releases are allowed. If there is no appeal, decisions are final after 30 days have elapsed, and at that point, the release occurs.
16 Απρ 2007 · It may be deemed conduct inconsistent with just and equitable principles of trade and a violation of Rule 2010 for a member to require associated persons to waive the arbitration of disputes contrary to the provisions of the Code of Arbitration Procedure. Amended by SR-FINRA-2008-057 eff. Dec. 15, 2008. Amended by SR-FINRA-2008-021 eff. Dec. 15 ...
