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
disciplinary proceeding on appeal or review before the National Business Conduct Committee.
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
9200 Series and in an appeal or review governed by the Rule 9300 Series, a FINRA member or associated person against whom a complaint is issued. In a proceeding
12 Αυγ 2021 · Discovery in FINRA arbitrations is meant to be more streamlined and straightforward than in traditional civil cases. By following the FINRA Code of Arbitration Procedure for Customer Disputes and the FINRA Discovery Guide, parties can anticipate how discovery will proceed and plan accordingly.
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,
