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Schedule A to The FINRA Sanction Guidelines |
Violations that Generally are not Subject to Censure When Monetary Sanctions of $5,000 or Less are Imposed
Quality of Markets Violations
- ACT Violations—Rule 6100 Series
- Backing Away
- Best Execution and Interpositioning
- Confirmation of Transactions (SEC Rule 10b-10)
- ECN Display Rule
- Failure to Display Minimum Size in Nasdaq® Securities, CQS Securities, and OTC Bulletin Board® Securities
- Fixed Income Pricing SystemSM—Trade Reporting and Participant and Quotation Obligations
- Limit Order Display Rule
- Limit Order Protection Rule
- Locked/Crossed Market
- Options Exercise and Positions Limits
- Options Positions Reporting—Late Reporting and Failing to Report
- Order Audit Trail System (NASD Rules 6950-6957)
- Passive Market Making
- Prohibition on Transactions, Publication of Quotations, or Publication of Indications of Interest During a Trading Halt
- SelectNetSM Text Messages
- Short Sale Violations
- SOESSM Rules
- Trade or Move Rule—NASD Rule 4613(b)(2)
- Trade Reporting—Late Reporting; Failing to Report; Inaccurate Reporting
- 1% Rule - SEC Rule 11Ac1-1(c)(1)
Qualification and Membership Violations
- Continuing Education—Firm Element
- Continuing Education—Regulatory Element
- Registration Violations
Reporting/Provision of Information violations
- FOCUS Reports—Late Filing
- Form BD-Y2K Reports—Late Filing
- Forms U-4/U-5—Late Filing; Failing to File; Filing Inaccurate Forms or Amendments
- MSRB Rule G-36—Untimely Filing of Offering Documents With MSRB; Late Filing; Failing to File
- Reportable Events Under Conduct Rule 3070—Late Reporting; Failing to Report; Filing Inaccurate Reports
- MSRB Rule G-37/G-38 Reporting—Late Filing; Failing to File
- Regulation M Reports—Late Filing; Failing to File
- Request for Automated Transmission of Trading Data (Blue Sheets)—Failure to Respond in a Timely and Accurate Manner
Financial and Operational Practices Violations
- Customer Protection Rule violations
- Net Capital violations
- Recordkeeping violations
- Violations of SEC Rule 17a-11 (Notification Provisions for Broker/Dealers) Supervision Violations
- Supervisory Procedures—Deficient Written Supervisory Procedures
Additionally, censures generally will not be imposed for violations disposed of under the Minor Rule Violation Plan pursuant to NASD Rule 9216(b) and IM-9216.
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