Overview [Version up to May. 1, 2018]

The regulatory mission of FINRA is to protect investors and strengthen market integrity through vigorous, even-handed and cost-effective self-regulation. FINRA embraces self-regulation as the most effective means of infusing a balance of industry and non-industry expertise into the regulatory process. FINRA believes that an important facet of its regulatory function is the building of public confidence in the financial markets.

XI. Supervision [Version up to February 28, 2019]

•  Disqualified Persons—Failure to Discharge Supervisory Obligations
•  Supervision—Failure to Comply With Taping Rule Requirements
•  Supervision—Failure to Supervise
•  Supervision—Systemic Supervisory Failures
•  Supervisory Procedures—Deficient Written Supervisory Procedures

Disqualified Persons—Failure to Discharge Supervisory Obligations

FINRA Rules 2010 and 3110

X. Sales Practices [Version up to February 28, 2019]

•  Borrowing From or Lending to Customers—Failure to Comply With Rule Requirements
•  Churning or Excessive Trading
•  Communications With the Public—Late Filing; Failing to File; Failing to Comply With Rule Standards or Use of Misleading Communications
•  Customer Account Transfer Contracts—Failure to Comply With Rule Requirements
•  Day-Trading Accounts—Failure to Comply With Risk Disclosure Requirements; Failur

IX. Reporting/Provision of Information [Version up to February 28, 2019]

•  FOCUS Reports—Late Filing; Failing to File; Filing False or Misleading Reports
•  Forms U4/U5—Late Filing of Forms or Amendments; Failing to File Forms or Amendments; Filing of False, Misleading or Inaccurate Forms or Amendments
•  MSRB Rule G-37 Reporting—Late Filing; Failing to File; Filing False or Misleading Reports
•  Regulation M Reports—Late Filing; Failing to File; False or Misleading Filing
•  Reportab

VIII. Quality of Markets [Version up to February 28, 2019]

•   Extended Hours Trading Risk Disclosure—Failure to Comply With Rule Requirements
•   Anti-Intimidation/Coordination—Failure to Comply With Rule Requirements
•   Backing Away
•   Best Execution—Failure to Comply With Requirements for Best Execution
•   ECN Display Rule—Failure to Comply With Rule Requirements
•   Failure to Display Minimum Size in NASDAQ Securities, CQS Secu

VII. Qualification and Membership [Version up to February 28, 2019]

•  Branch Offices—Failure to Register
•  Cheating, Using an Impostor, or Possessing Unauthorized Materials in Qualifications Examinations or in the Regulatory Element of Continuing Education
•  Continuing Education (Firm Element)—Failure to Comply With Rule Requirements
•  Continuing Education (Regulatory Element)—Failure to Comply With Rule Requirements
•  Disqualified Person Associating With Firm Prior to Approv

V. Impeding Regulatory Investigations [Version up to February 28, 2019]

•  Confidentiality Agreements—Settling With Customer in Exchange for Customer Agreement Not to Cooperate With Regulatory Authorities
•  Failure to Respond, Failure to Respond Truthfully or in a Timely Manner, or Providing a Partial but Incomplete Response to Requests Made Pursuant to FINRA Rule 8210
•  Settling Customer Complaints Away From the Firm

Confidentiality Agreements—Settling With Customer in Exchange for Customer Agreement Not to Cooperate With Regu

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