Schedule A to the FINRA Sanction Guidelines [Version up to May. 1, 2018]
Violations That Generally Are Not Subject to Censure When Monetary Sanctions of $7,000 or Less Are Imposed
Quality of Markets Violations
XI. Supervision [Version up to May. 1, 2018]
• Disqualified Persons—Failure to Discharge Supervisory Obligations
• Supervision—Failure to Comply With Taping Rule Requirements
• Supervision—Failure to Supervise
• Supervisory Procedures—Deficient Written Supervisory Procedures
Disqualified Persons—Failure to Discharge Supervisory Obligations
X. Sales Practices [Version up to May. 1, 2018]
• 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; Failure Appropriatelyto Approve an Account for Day Trading; Failure to Preserve Required Day-Trading Records
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