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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

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