Contact FINRA at 301-590-6500. Codes R. & Regs.
Amended by SR-FINRA-2008-028 eff. Supported by the same principles as Minnesota law – concerns over the restraint of trade – FINRA prohibits interference with customer relations with their brokers, which includes “seeking a judicial order or decree that Amended by SR-FINRA-2010-060 eff. « Revisiting Regulation M, Rule 105: Short Selling Initial and Secondary Offerings |
| Regulatory Notice 09-16, "Explained Decision" Rule ».
FINRA IS A REGISTERED TRADEMARK OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. No member or person associated with a member shall interfere with a customer's request to transfer his or her account in connection with the change in employment of the customer's registered representative where the account is not subject to any lien for monies owed by the customer or other bona fide claim. All data and information provided on this site is for informational purposes only. Prohibited interference includes, but is not limited to, seeking a judicial order or decree that would bar or restrict the submission, delivery or acceptance of a written request from a customer to transfer his or her account. FINRA operates the largest securities dispute resolution forum in the United States, Report a concern about FINRA at 888-700-0028. Read the SEC's approval of FINRA Rule 2140 here. File a complaint about fraud or unfair practices. For updates and guidance related to COVID-19 / Coronavirus, click here. A member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade. on March 11, 2009 8:25 PM
(1) When both the carrying member and the receiving member are participants in a registered clearing agency having automated customer securities account asset transfer capabilities and are eligible to use such capabilities, the securities account asset transfer procedure, including the establishing and closing out of fail contracts, must be accomplished in accordance with the provisions of this Rule and … Part 1200.0, Rule 5.6(a)). The previous post in this blog was Revisiting Regulation M, Rule 105: Short Selling Initial and Secondary Offerings. Need Help? Dec. 15, 2008.
34-59495 (March 3, 2009); File No. Posted by David Welch, Esq. 34-59495 (March 3, 2009); File No. For purposes of Rule 2040, FINRA expects members to determine that their proposed activities would not require the recipient of the payments to register as a broker-dealer and to reasonably support such determination. SR-FINRA-2008-052, Revisiting Regulation M, Rule 105: Short Selling Initial and Secondary Offerings, Regulatory Notice 09-16, "Explained Decision" Rule.
FINRA Rule 2140, which contemplates interfer-ence with a customer account in the context of an employment dispute. No member or person associated with a member shall interfere with a customer's request to transfer his or her account in connection with the change in employment of the customer's registered representative where the account is not subject to any lien for monies owed by the customer or other bona fide claim. FINRA IS A REGISTERED TRADEMARK OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. A member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade. | Permalink, (If you haven't left a comment here before, you may need to be approved by the site owner before your comment will appear. Some tactics by the former firm can, directly or indirectly, limit the customerâs access to his or her broker, usually the departing broker. Thanks for waiting. Specifically, often when a broker leaves one firm to join another, the former firm will sue and attempt to prevent the departing broker from taking clients. Contact FINRA at 301-590-6500. Dec. 15, 2010. Cross References–1122, Filing of Misleading Information as to Membership or Registration2111, Suitability2121.01, Mark-Up Policy « Revisiting Regulation M, Rule 105: Short Selling Initial and Secondary Offerings, Regulatory Notice 09-16, "Explained Decision" Rule », Securities and Exchange Commission Release No.
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