Recently, the NASD and NYSE merged their regulatory bodies to form the Financial Industry Regulatory Authority (or FINRA). In so doing, the NASD Arbitration Rules were reformatted and replaced by the new FINRA Rules. These rules apply to securities arbitration cases (including securities fraud customer cases) submitted through FINRA (formerly the NASD).
FINRA has set up a very helpful link on their website which describes the conversion from NASD to FINRA Rules on a rule by rule basis. Here is a link to the breakdown:
http://www.finra.org/Industry/Regulation/FINRARules/p085560
If you have questions about the NASD’s rule changes, or if you believe that you have a possible securities fraud case, The White Law Group can help. To speak to a securities attorney, please call our Chicago Office at 312-238-9650 for a free consultation.
The White Law Group, LLC is a national securities fraud, securities arbitration, investors protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida.
To learn more about The White Law Group, visit https://whitesecuritieslaw.com.
Tags: FINRA NASD Rules for Securities Arbitration Last modified: February 29, 2024
