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.
When FINRA determines that violations of securities rules have occurred and that formal disciplinary action is necessary, the Enforcement Department or Market Regulation Department files a Complaint with the Office of Hearing Officers. The Office arranges a three-person panel to hear the case. The panel is chaired by a Hearing Officer who is
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 also is proposing to adopt FINRA Rule 9561, and amend FINRA Rule 9559, to create a new expedited proceeding to implement proposed Rule 4111. FINRA has a number of tools to deter and remedy misconduct by member firms and the
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 increase arbitrator chairperson (“Chair”) honoraria. Specifically,
The term Interested FINRA Staff means, in the context of: (1) No Change. (2) a proceeding under the Rule 9520 Series or Rule 9550 Series: (A) the head of the department or office that issues the notice or petition or is designated as a Party; (B) through (C) No Change . (D) a FINRA employee who directly participated in an
To preserve the right to appeal, it is important to carefully read and follow the requirements for appeal in the Rule 9300 Series in FINRA’s Code of Procedure. See Rule 9300 Series. Post-Decision Motions for Conditions and Restrictions
