IX. Reporting/Provision of Information [Version up to May. 1, 2018]

•   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-36 (Timely Filing of Offering Documents With the MSRB)—Late Filing and Failing to File
•   MSRB Rule G-37 Reporting—Late Filing; Failing to File; Filing False or Misleading Reports

VIII. Quality of Markets [Version up to May. 1, 2018]

•   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 May. 1, 2018]

•   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 A

V. Impeding Regulatory Investigations [Version up to May. 1, 2018]

•   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

IV. Financial and Operational Practices [Version up to May. 1, 2018]

•   Customer Confirmations—Failure to Comply With Rule Requirements
•   Customer Protection Rule—Failure to Comply With Rule Requirements
•   Net Capital Violations
•   Recordkeeping Violations
•   Regulation T and Margin Requirements—Violations of Regulation T and/or FINRA Margin Requirements

Customer Confirmations—Failure to Comply With Rule Requirements

III. Distributions of Securities [Version up to May. 1, 2018]

•   Corporate Financing Rule—Failure to Comply With Rule Requirements
•   Engaging in Prohibited Municipal Securities Business
•   Escrow Violations—Prohibited Representations in Contingency Offerings; Transmission or Maintenance of Customer Funds in Underwritings
•   Restrictions on the Purchase and Sale of Initial Equity Public Offerings Violations
•   Unregistered Securities—Sales of

Corpor

I. Activity Away From Associated Person's Member Firm [Version up to May. 1, 2018]

•   Outside Business Activities—Failure to Comply With Rule Requirements
•   Selling Away (Private Securities Transactions)
•   Transactions for or by Associated Persons—Failure to Comply With Rule Requirements

Outside Business Activities—Failure to Comply With Rule Requirements

FINRA Rules 2010 and 3270

Technical Matters [Version up to May. 1, 2018]

Calculation of days of suspension. As was the case in prior versions of the FINRA Sanction Guidelines, recommendations for the imposition of suspensions contained herein distinguish between suspensions for 30 or fewer days and 31 or more days. In these guidelines, the NAC recommends that a suspension of 30 or fewer days be measured in business days, while a suspension of 31 or more days be measured in calendar days.

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