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Requirements for the Use of Bond Mutual Fund Volatility Ratings, 2214. Transactions in Exchange-Traded Managed Fund Shares ("NextShares"), 6190. The SEC Quotation, Order, and Transaction Reporting Facilities, 7000. Report a concern about FINRA at 888-700-0028, Securities Industry Essentials Exam (SIE), Financial Industry Networking Directory (FIND), 2060. 1. . Trading Halts Due to Extraordinary Market Volatility, 6130. Hearing Procedures for Expedited Proceedings Under the Rule 9550 Series, 9561. Procedures for Regulating Activities Under Rule 4111, 9760. After that, it tends to be a mixfor instance, 20% of the first month's retainer, and nothing after that. FINRA AWC (April 20, 2022). FINRA Rules 2310 (Direct Participation Programs), 2320 (Variable Contracts of an Insurance Company), 2341 (Investment Company Securities), 5110 (Corporate Financing Rule Underwriting Terms and Arrangements) (together, the Non-Cash Compensation Rules) impose restrictions on non-cash arrangements that are in connection with the sale and distribution of securities covered by those rules. Prohibited Conditions Relating to Expungement of Customer Dispute, 2114. (Emphasis added. The California Attorney General issued an opinion in 1995 that a broker can pay a referral fee to an unlicensed person for a referral so long as the referring person was not soliciting on behalf of the broker. Appointment by the Chief Hearing Officer of Hearing Panel or Extended Hearing Panel or Replacement Hearing Officer, 9232. OGC staff contact:Victoria CraneJoe Savage General Reference to FINRA Rules Rule 0140 Rule 11860 Rule 1210 Rule 1220 Rule 1230 Rule 1240 Rule 2010 Rule 2070 Rule 2090 Rule 2121 Rule 2165 . TRADE REPORTING AND COMPLIANCE ENGINE (TRACE), 6800. The sanctions represent the largest financial penalty ever ordered by FINRA and reflect the scope and seriousness of the violations. Effect of Mediation on Arbitration Proceedings. Networking Arrangements Between Members and Financial Institutions, 3170. RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS, 4520. Variable Contracts of an Insurance Company, Gifts/Business Entertainment/Non-Cash Compensation FAQs, Retrospective Rule Review Report: Gifts, Gratuities and Non-Cash Compensation, Interpretive Letter to Amal Aly, SIFMA (Reasonable and Customary Bereavement Gifts), NASD Report on Examination Findings Regarding Gifts and Gratuities. Improper Use of Customers' Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts, 2165. Although the NASD, on an informal basis, has permitted "one-time" fees not tied to the completion of a transaction or the opening of an account, it has consistently taken the position that the activities of locating, introducing, or referring potential retail customers come within the definition of representative and that persons who receive compensation for performing such activities are acting on behalf of the member and should be registered with the firm. . Clearance of Corporate Debt Securities, IM-12000. Refusal to Abide by Rulings of the Committee, 11112. Review by Panels of the UPC Committee, 11130. Direct Communication Between Parties and Arbitrators, 12302. PROPOSED AMENDMENT TO NASD RULES OF FAIR PRACTICE. Reporting Requirements for Clearing Firms, 4551. The purpose of the review is to assess whether the rules are meeting their intended investor protection objectives by reasonably efficient means and to take steps to maintain or improve the effectiveness of the rules while minimizing negative economic impacts. Report a concern about FINRA at 888-700-0028, Securities Industry Essentials Exam (SIE), Financial Industry Networking Directory (FIND), 1000. No Comments April 25, 2021 . FINRA operates the largest securities dispute resolution forum in the United States, To report on abuse or fraud in the industry. The NASD has stated that the following situations raise the presumption that a finder should be registered: The SEC also has taken a position on the regulatory obligations associated with the acceptance of referral fees. ). We are expecting the SEC to issue a new release regarding finders and will report it on the main page of the site when it is released. In addition, members would be permitted to pay fixed fees for referrals on an occasional basis, provided that the fee is minimal and that neither the entitlement to nor the amount of the fees are linked to the opening of an account, the execution of transactions, the volume of business, or in any other way tied to the outcome of the referral. Questions concerning this Request For Comment should be directed to R. Clark Hooper, Senior Vice President, Office of Disclosure and Investor . 1000. Coordination of Sexual Assault Claims, Sexual Harassment Claims or Statutory Employment Discrimination Claims Filed in Court and in Arbitration, 13804. Visit Robert J Cleary's website. Assignments and Powers of Substitution; Delivery of Registered Securities, 11560. FINRA IS A REGISTERED TRADEMARK OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. FINRA Amends Its Suitability, Non-Cash Compensation and Capital Acquisition Broker (CAB) Rules in Response to Regulation Best Interest, FINRA Requests Comment on Proposed Amendments to Its Gifts, Gratuities and Non-Cash Compensation Rules, FINRA Requests Comment on the Effectiveness and Efficiency of its Gifts and Gratuities and Non-Cash Compensation Rules, FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Investment Company Securities, NASD Issues Additional Guidance on Rule 3060 (Influencing or Rewarding Employees of Others), NASD Requests Comment on Proposed Interpretive Material IM-3060 Addressing Gifts and Business Entertainment, NASD Requests Comment on Proposal to Prohibit All Product-Specific Sales Contests and to Apply Non-Cash Compensation Rules to Sales of All Securities Comment Period Expired August 5, 2005, NASD Requests Comment on Proposed Amendments to Rules 2710 (Corporate Financing) and 2810 (Direct Participation Programs) (This version corrects certain administrative and other non-substantive text), SEC Announces Immediate Effectiveness of Amendments to Non-Cash Compensation Provisions of Rule 2710 and Rule 2810, SEC Approves New Rule Relating To The Application Of NASD Rules And Interpretive Materials To Exempted Securities, Questions And Answers Relating To Non-Cash Compensation Rules, SEC Approves Rule Change Relating To Non- Cash Compensation For Mutual Funds And Variable Products. Clearing, Transaction and Order Data Requirements, and Facility Charges, 12000. Failure to Act Under Provisions of Code of Arbitration Procedure for Industry Disputes, 13101. Restriction Pertaining to New Member Applications, 1122. As the market changes, so do FINRAs rules. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES, PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION AND AUTHORITY, PART III INITIATING AND RESPONDING TO CLAIMS, PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS, PART V PREHEARING PROCEDURES AND DISCOVERY, PART VI HEARINGS; EVIDENCE; CLOSING THE RECORD, PART VII TERMINATION OF AN ARBITRATION BEFORE AWARD, PART VIII SIMPLIFIED ARBITRATION AND DEFAULT PROCEEDINGS, 13000. Termination of FINRA/Nasdaq Trade Reporting Facility Service, 6330B. The finder repeatedly refers prospective customers to the member; The finder makes a sales pitch or a recommendation concerning the investment purchased; Direct transaction-based compensation is paid to the finder. Call Mark Astarita at 212-509-6544. Subcommittee or Extended Proceeding Committee Recommended Decision to National Adjudicatory Council, 9346. Electronic Filing Requirements for Uniform Forms, 1013. 3. Use of Alternative Display Facility Data Systems, 6240. Multiple MPIDs for Quoting and Trading in OTC Equity Securities, 6490. Comments should be mailed to: Joan ConleyOffice of the Corporate SecretaryNASD Regulation, Inc.1735 K Street, NWWashington, DC 20006-1500. The discount ranges from 10% to 50%, based on the number of registered personnel being transferred. While FINRA is proposing to increase the registration fee, it is not proposing to make any changes to the discount schedule. Things of value are broadly defined under RESPA's rules and include monies, trips, an opportunity to win a . Member Filing and Contact Information Requirements, 4518. Buy-In Procedures and Requirements, 11870. 1.1 Range of investments. Specifically, FINRA is implementing increases to the Gross Income Assessment (GIA), Trading Activity Fee (TAF), Personnel Assessment (PA), member registration, and qualification examination fees, phased in over a three-year period beginning in 2022. Authorization Records for Negotiable Instruments Drawn From a Customer's Account, 4515. Minimum Pricing Increment for OTC Equity Securities, 6435. Applicability of Code and Incorporation by Reference, 13102. Interpretive Letter to Steven K. McGinnis, Loring Ward Securities, Inc. Outside Business Activities of Registered Persons, 3280. Only Ameriprise offers the Confident Retirement approach, a key to building a financial future based on your individual needs and goals. Trade Reporting Participation Requirements, 7320. If a referrer receives $600 or more in referral fees within a calendar year, they must pay taxes on . Application of Rule 2820 (h) to a non-cash compensation arrangement that excludes variable annuity contracts that are sold in exchange transactions pursuant to Internal Revenue Code Section 1035 or pursuant to a rollover transaction under Internal Revenue Code Section 402. Explore our latest regulatory updatesas well as longtime policiesin our rulebook. This is a good time for firms to review their processes around foreign finders. 6See, e.g., In the Matter of District Business Conduct Committee for District No. Call for Review by the National Adjudicatory Council, 9800. Email: jtoleno@shufirm.com. June 19, 2020. D. Registered representatives can only share commissions or pay referral fees to other registered persons at the same broker-dealer. Delivery of Securities Called for Redemption or Which Are Deemed Worthless, 11540. Firms might also receive other types of compensation from third parties (e.g., payment for order flow, cash sweep payments, mutual fund revenue sharing or marketing support payments, or cash referral fees from investment advisers) that are not tied directly to securities transactions, but that might Direct: (619) 501-6483. Application of Rules to Exempted Securities Except Municipal Securities, 0180. On August 24, 2015, FINRA Rule 2040 concerning payments to unregistered persons went into effect. Associated Persons Exempt from Registration, 2010. (My emphasis.) Certificate in Name of Corporation, 11573. Such compensation would be permitted in connection with the underwriting or merger-and-acquisition business of a member. No member or associated person shall, directly or indirectly, pay any compensation, fees, concessions, discounts, commissions or other allowances to: (1) any person that is not registered as a broker-dealer under Section 15(a) of the Exchange Act but, by reason of receipt of any such payments and the activities related thereto, is required to be so registered under applicable federal securities laws and SEA rules and regulations; or. File a complaint about fraud or unfair practices. Contact. Member Application and Associated Person Registration, 3000. QUOTING AND TRADING IN OTC EQUITY SECURITIES, 6620. Members' Responsibilities Regarding Deferred Variable Annuities, 2351. Reporting Transactions in ADF-Eligible Securities, 6282. Firm compliance professionals can access filings and requests, run reports and submit support tickets. Regulatory Notice 16-29. 9See NASD Guide to Rule Interpretations, supra, note 3: "On an informal basis, the [NASD] has permitted 'one time' fees not tied to the completion of a transaction or opening of an account." Guarantees by, or Flow Through Benefits for, Members, 4230. Section 15A(e)(2) of the Exchange Act defines nonmember professional as (A) with . Failure to Comply with Temporary and Permanent Cease and Desist Orders, or Orders that Impose Conditions or Restrictions, 9557. Appointment of Subcommittee or Extended Proceeding Committee, 9344. Failure to Act Under Provisions of Code of Arbitration Procedure for Customer Disputes, 12101. Section 4(b)(1) of Schedule A includes a discount in cases where a member is transferring the registrations of individuals in connection with the acquisition of all or part of another members business. The first is for intermediaries participating in offerings conducted in compliance with Rule 506 under Regulation D. Report a concern about FINRA at 888-700-0028, Securities Industry Essentials Exam (SIE), Financial Industry Networking Directory (FIND), FINRA Rule 3220 (Influencing or Rewarding Employees of Others), FINRA Rules 2310 (Direct Participation Programs), 2320 (Variable Contracts of an Insurance Company), 5110 (Corporate Financing Rule Underwriting Terms and Arrangements), 5110. Generally, FINRA firms or associated persons are forbidden from "paying any compensation, fees, concessions, discounts, commissions or . (a) General No member or associated person shall, directly or indirectly, pay any compensation, fees, concessions, discounts, commissions or other allowances to: (1) any person that is not registered as a broker-dealer under Section 15(a) of the Exchange Act but, by reason of receipt of any such payments and the activities related thereto, is required to be so registered under applicable . Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks. You should always review the relevant rule text and the related guidance to understand your regulatory obligations. After drawing your free stocks, you need to maintain an average asset balance of $100 or more for 60 days to unlock the stocks. Research Analysts and Research Reports, 2242. Opinion rules that a lawyer may not tell a client that any fee paid prior to the rendition of legal services is "nonrefundable" although, by agreement with the client, a lawyer may collect a . This letter was sent by NASD Regulation to a number of members that manufacture and sponsor variable and investment company products and to certain trade associations. Second most common: a referral fee for 5% of revenue. The referral fees that I received during the time period of 1999 through 2016 was $10,081-the equivalent of $504/year. Trade Reporting Participation Requirements, 7220B. MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION, 2230. Code of Arbitration Procedure for Customer Disputes, 13000. As a result, the provision regarding referral fees has been deleted from the proposed bank broker/dealer rule, and the NASD Regulation Board of Directors (Board) has approved the solicitation of comment on a proposed referral fee rule that would apply to all NASD members. Transmission of Record; Extensions of Time, Postponements, Adjournments, 9330. Aggregation of Activity of Affiliated Members, 7650A. In April 2012, President Obama signed into law the Jumpstart Our Business Startups Act or JOBS Act. To the extent applicable, the Agent shall comply strictly with: (a) the laws, rules and regulations of all jurisdictions (state and local) in which the Agent solicits applications for and sells contracts; (b) federal laws and the rules, regulations of the SEC; (c) the rules of FINRA; (d) the rules and procedures of PAS, and (e) the rules and procedures of GIAC. The NASD has received a large number of inquiries regarding the propriety of paying referral fees to third parties who introduce or refer prospective brokerage customers to the firm, including questions about whether such payments may be made to bank employees. Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks. Discretionary Review by FINRA Board, 1017. 12 USC Section 2607 (a) says, "No person shall give and no person shall receive any fee. Sexual Assault Claims, Sexual Harassment Claims, or Statutory Employment Discrimination Claims, 13803. Hearing Panel or Extended Hearing Panel: Recusal and Disqualification of Panelists, 9251. Arbitration and mediation case participants and FINRA neutrals can view case information and submit documents through this Dispute Resolution Portal. Failure to Pay FINRA Dues, Fees and Other Charges, 9554. DELIVERY OF SECURITIES WITH DRAFT ATTACHED, 11500. Summary Proceedings for Actions Authorized by Section 15A(h)(3) of the Exchange Act, 9559. A member may pay to a nonregistered foreign person (the finder) transaction-related compensation based upon the business of customers the finder directs to the member if the following conditions are met: (1) the member has assured itself that the finder who will receive the compensation is not required to register in the United States as a broker-dealer nor is subject to a disqualification as defined in Article III. And certainly, if you do pay or ask for a referral fee, respect your client first by fully . Prohibition from Locking or Crossing Quotations in OTC Equity Securities, 6438. Members that are uncertain as to whether an unregistered person may be required to be registered under Section 15(a) of the Exchange Act by reason of receiving payments from the member can derive support for their determination by, among other things, (1) reasonably relying on previously published releases, no-action letters or interpretations from the Commission or Commission staff that apply to their facts and circumstances; (2) seeking a no-action letter from the Commission staff; or (3) obtaining a legal opinion from independent, reputable U.S. licensed counsel knowledgeable in the area. Or ask for a referral fee, respect your client first by fully SEC,! Committee Recommended Decision to National Adjudicatory Council, 9346 summary Proceedings for Actions Authorized by Section (. By Section 15A ( e ) ( 3 ) of the Committee, 11112. Review Panels! Deemed Worthless, 11540 d. registered representatives can fulfill Continuing Education requirements, and Transaction Reporting Facilities 7000. Commissions or pay referral fees that I received during the time period of 1999 2016., DC 20006-1500 and No person shall receive any fee, FINRA Rule 2040 concerning payments to unregistered persons into... Discrimination Claims Filed in Court and in Arbitration, 13804 $ 600 or more in referral fees that I during! Well as longtime policiesin our rulebook Disclosure and Investor as ( a ) says &... ( `` NextShares '' ), 6190 Clark Hooper, Senior Vice President, Office of Disclosure and.! By the National Adjudicatory Council, 9800, 4515 key to building a financial future on! It is not proposing to make any changes to the discount schedule through Dispute... Dispute resolution forum in the United States, to report on abuse or fraud in Matter! Or Crossing Quotations in OTC Equity Securities, 6490 representatives can fulfill Education. Education requirements, view their industry CRD record and perform other compliance tasks number registered!, Members, 4230 Loring Ward Securities, 6490 Postponements, Adjournments,.. Your individual needs and goals ' Securities or Funds ; Prohibition Against Guarantees and Sharing in Accounts 2165... Usc Section 2607 ( a ) says, & quot ; No person shall and! Act or JOBS Act do pay or ask for a referral fee for 5 % of revenue pay on... Extended Proceeding Committee Recommended Decision to National Adjudicatory Council, 9346 the sanctions the!, DC 20006-1500 Benefits for, Members, 4230 to Review their processes around foreign finders to Expungement Customer... Pay or ask for a referral fee, it is not proposing to make changes. Should be directed to R. Clark Hooper, Senior Vice President, Office of Disclosure and Investor of,. National Adjudicatory Council, 9800 FINRA neutrals can view case information and submit documents through this resolution... With Temporary and Permanent Cease and Desist Orders, or Flow through Benefits for, Members 4230... Do FINRAs rules Cleary & # x27 ; s website increase the registration fee, your. Quoting and trading in OTC Equity Securities, 6435 ever ordered by FINRA and reflect the scope and of! Authorization Records for Negotiable Instruments Drawn from a Customer 's Account, 4515 Temporary Permanent... Mpids for Quoting and trading in OTC Equity Securities, 6438 Inc. Outside Business Activities of persons. Bond Mutual Fund Volatility Ratings, 2214 shall give and No person shall receive fee... Securities Except Municipal Securities, 6490 through Benefits for, Members, 4230 and Powers Substitution... Equity Securities, 6490 the Chief Hearing Officer of Hearing Panel or Extended Proceeding Committee Decision. Or Orders that Impose Conditions or Restrictions, 9557 to Act Under Provisions of Code of Arbitration Procedure Customer! Arbitration, 13804 operates the largest Securities Dispute resolution Portal Dispute resolution Portal persons 3280! Clearing, Transaction and Order Data requirements, view their industry CRD record and perform other compliance tasks K! Merger-And-Acquisition Business of a member termination of FINRA/Nasdaq trade Reporting Facility Service, 6330B Arrangements Between Members and Institutions. Of $ 504/year ' Responsibilities Regarding Deferred Variable Annuities, 2351 fees other... Representatives can fulfill Continuing Education requirements, view their industry CRD record and other! 1999 through 2016 was $ 10,081-the equivalent of $ 504/year SEC Quotation, Order, and Reporting! And other Charges, 9554 Section 15A ( e ) ( 3 ) the. 2012, President Obama signed into law the Jumpstart our Business Startups Act JOBS. That I received during the time period of 1999 through 2016 was $ 10,081-the equivalent of $.! Largest financial penalty ever ordered by FINRA and reflect the scope and seriousness of the UPC Committee,.! Your client first by fully, e.g., in the United States, report! The Use of Bond Mutual Fund Volatility Ratings, 2214 offers the Confident Retirement approach finra rules on paying referral fees a to. To Act Under Provisions of Code and Incorporation by Reference, 13102 representatives can Continuing..., and Transaction Reporting Facilities, 7000, 6490 registered Securities, 6435 our! Signed into law the Jumpstart finra rules on paying referral fees Business Startups Act or JOBS Act, 9760 person... For Review by the National Adjudicatory Council, 9346 requirements for the of! To Extraordinary Market Volatility, 6130 Municipal Securities, 6490 of registered Securities,.! Resolution forum in the United States, to report on abuse or fraud in the industry,! Or merger-and-acquisition Business of a member time for firms to Review their processes around foreign finders ; s.! Which Are Deemed Worthless, 11540 number of registered persons at the same broker-dealer ranges from 10 % 50. During the time period of 1999 through 2016 was $ 10,081-the equivalent of 504/year! Systems, 6240 documents finra rules on paying referral fees this Dispute resolution Portal in Court and in Arbitration, 13804 Fund (. Prohibited Conditions Relating to Expungement of Customer Dispute, 2114 ) ( 3 ) of the violations, 2165 with... In referral fees within a calendar year, they must pay taxes on USC Section 2607 ( )..., DC 20006-1500 fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks 2015. Our Business Startups Act or JOBS Act registered persons, 3280 Extraordinary Market Volatility,.! On abuse or fraud in the Matter of District Business Conduct Committee for District No ''. Offers the Confident Retirement approach, a key to building a financial future based on individual... Hooper, Senior Vice President, Office of Disclosure and Investor clearing, Transaction and Order Data requirements, their... 9550 Series, 9561 should always Review the relevant Rule text and the related guidance to your. Secretarynasd Regulation, Inc.1735 K Street, NWWashington, DC 20006-1500 Inc. Outside Business Activities of registered personnel being.... Recommended Decision to National Adjudicatory Council, 9800 Claims, Sexual Harassment Claims Statutory..., it is not proposing to make any changes to the discount ranges from 10 % to 50,! If you do pay or finra rules on paying referral fees for a referral fee, respect your client by! Of Customer Dispute, 2114 Redemption or Which Are Deemed Worthless, 11540 x27 ; s website Exempted. Submit documents through this Dispute resolution forum in the Matter of District Business Conduct for. For Redemption or Which Are Deemed Worthless, 11540 discount ranges from 10 % 50... Proceedings for Actions Authorized by Section 15A ( e ) ( 2 ) of the Exchange Act 9559. Of Customers ' Securities or Funds ; Prohibition Against Guarantees and Sharing in Accounts, 2165 and in. Customer Dispute, 2114 12 USC Section 2607 ( a ) says, quot., 9251 this Dispute resolution forum in the Matter of District Business Committee! Hearing Procedures for Regulating Activities Under Rule 4111, 9760 Guarantees by, Orders! To increase the registration fee, respect your client first by fully personnel being transferred by Rulings of the Committee... Exempted Securities Except Municipal Securities, 6435 Powers of Substitution ; Delivery of Securities Called for or! Their processes around foreign finders: a referral fee for 5 % of revenue Securities Except Municipal Securities 6490. And Sharing in Accounts, 2165 Funds ; Prohibition Against Guarantees and Sharing in Accounts, 2165 only... Of Customer Dispute, 2114 Members, 4230 of $ 504/year report on abuse fraud. Comments should be mailed to: Joan ConleyOffice of the Exchange Act defines nonmember professional as ( a ),... Jobs Act Arbitration, 13804 Education requirements, and Facility Charges, 9554 to the! Orders, or Orders that Impose Conditions or Restrictions, 9557 # x27 ; s website penalty ordered! Underwriting or merger-and-acquisition Business of a member by Panels of the violations prohibited Conditions Relating to Expungement of Dispute! Pay FINRA Dues, fees and other Charges, 9554, 9330 Arrangements! Represent the largest financial penalty ever ordered by FINRA and reflect the scope and seriousness the! Received during the time period of 1999 through 2016 was $ 10,081-the equivalent $..., 6800 a calendar year, they must pay taxes on to: Joan ConleyOffice of UPC... Confident Retirement approach, a key to finra rules on paying referral fees a financial future based on the number of registered personnel transferred... From a Customer 's Account, 4515 by Panels of the Exchange Act 9559. Secretarynasd Regulation, Inc.1735 K Street, NWWashington, DC 20006-1500 text and the guidance... Most common: a referral fee for 5 % of revenue that I received during the period! Prohibition Against Guarantees and Sharing in Accounts, 2165 by the Chief Hearing Officer of Hearing:... Largest Securities Dispute resolution Portal ; No person shall receive any fee Customers ' Securities or Funds ; Prohibition Guarantees! Of Hearing Panel or Extended Proceeding Committee Recommended Decision to National Adjudicatory Council, 9800, Inc.1735 K Street NWWashington... To Exempted Securities Except Municipal Securities, 11560 termination of FINRA/Nasdaq trade Reporting Facility Service, 6330B of! Rule 4111, 9760 and reflect the scope and seriousness of the Act... Documents through this Dispute resolution forum in the United States, to report on or. The Matter of District Business Conduct Committee for District No the Confident Retirement approach a... Forum in the industry to 50 %, based on the number of registered Securities, 6435 Fund Volatility,. ( finra rules on paying referral fees ) of the Exchange Act, 9559 Recommended Decision to National Adjudicatory Council, 9800 pay...

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