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Tag: FINRA Rules

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FINRA v. JAMS – What’s the Difference?

Two Arbitration Processes – JAMS & FINRA There are two possible arbitration processes used to litigate disputes, FINRA or JAMS, ...

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Blog, Securities Fraud

FINRA Proposes New Private Placement Offering Rule, NASAA Comments

In October of this year the Financial Industry Regulatory Authority (FINRA) submitted to the Securities and Exchange Commission (SEC) a...

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Blog, Securities Fraud

FINRA Proposes More Disclosure with regards to Private Placement Offering Proceeds

According to canadiansecuritieslaw.com the Financial Industry Regulatory Authority (FINRA) recently “published proposed amendments to its...

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Blog, Securities Fraud

Significant FINRA Rules Applicable to Securities Fraud/Customer Dispute Claims

2010. Standards of Commercial Honor and Principles of Trade A member, in the conduct of its business, shall observe high standards of...

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Blog, Securities Fraud

New Rule on Broker Promissory Note Arbitration Proceedings- SEC approves Rule establishing expedited proceedings for arbitrating promissory note cases.

Effective September 14, 2009, FINRA will begin expediting the administration of cases that solely involve a brokerage firm’s claim than...

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