Other Sec & Sro Rules & Regulations

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regulates all matters related to trading standardized options and related contracts listed on that exchange.

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(CBOE) Chicago Board Option Exchange

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governs the resolution of disagreement and claims between members, registered representative and the public

Back 2

Code of Arbitration Procedure

Front 3

establish rules, regulations, and membership eligibility standards

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(NAC) National Adjudicatory Council

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requires that all registered persons complete a computer based training session within 120 days of the person second registered anniversary and every three years after

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regulatory element

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member firms prepare annual training plan taking into account such factors as recent regulatory development the scope of the members business activites the performance of its personal in the regulatory element and its supervisory needs

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firm element

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a registered person needs to fill out when leaving on member firm to join another firm

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U-5 form

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must be completed during registration with the new employee member

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U-4 form

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a rule violation may be designated as "minor" under a plan if the sanction imposed consists of a fine of $2,500 or less, and if the sanctioned person does not contest the fine

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(MRV) minor rule violation

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originally established to medicate unresolved industry disputes

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Code of Arbitration

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must describe in detail the controversy in dispute, include documentation in support of the claim, and state the remedy being sought

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statement of claim

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individual who have worked in the financial industry, or provide services to financial industry client or to partial engaged in securities arb or litigation

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nonpublic arbitrators

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executive officers, directors, or holders, of more than 5% of a member firms voting stock

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allied members

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designation is permitted if the name is filed with FINRA and the SEC on Form BD and is the name used to designate the member

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fictional name or DBA

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enacted to protect consumers from unwanted telephone solicitations

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Telephone Consumer Protection of 1991