Αποτελέσματα Αναζήτησης
review of disciplinary proceeding by national adjudicatory council and finra board; application for sec review 9310. Appeal to or Review by National Adjudicatory Council
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.
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 governed by the Rule 9800 Series, th e term Respondent means a FINRA member or associated person that has been served a notice initiating a cease and desist proceeding.
The singlemost reliable, current source for FINRA rules, Notices to Members, Interpretations, etc. Available online, in loose-leaf with monthly updates, and as an annual paperback edition.
Guide supplements the discovery rules contained in the FINRA Code of Arbitration Procedure for Customer Disputes ( Customer Code ). It includes an introduction describing the discovery
