Αποτελέσματα Αναζήτησης
Appeal. An Applicant may file a written notice of appeal within 15 calendar days after service of a decision issued under . 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.
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’s By-Laws provide that formal disciplinary actions be resolved through the disciplinary hearing process. Enforcement’s filing of a Complaint with the Office of Hearing Officers commences a disciplinary proceeding, and the conduct of the proceeding is governed by FINRA’s Code of Procedure.
Rule 4111, and 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. The text of the proposed rule change is available on FINRA’s website at
(D) a FINRA employee who directly participated in an examination, investigation, prosecution, or litigation related to a specific temporary cease and desist proceeding, and a district director or
The FINRA Code of Procedure sets forth a multi -layered hearing and appeals process that governs disciplinary actions against FINRA-affiliated brokers and dealers.
proposed rule change to amend the FINRA Code of Arbitration Procedure for Customer Disputes. (“Customer Code”), the Code of Arbitration Procedure for Industry Disputes (“Industry Code”), and the Code of Mediation Procedure (“Mediation Code”) (collectively, the “Codes”), to revise.
