Government Shutdown Information

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

IV. Financial and Operational Practices [Version up to February 28, 2019]

•   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 February 28, 2019]

•  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

Corporate F

I. Activity Away from Associated Person's Member Firm [Version up to February 28, 2019]

•  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

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