Index [Version up to February 28, 2019]

Anti-Intimidation/Coordination—Failure to Comply With Rule Requirements	48
Backing Away	49
Best Execution—Failure to Comply With Requirements for Best Execution	50
Branch Offices—Failure to Register	39
Cheating, Using an Impostor, or Possessing Unauthorized Materials in Qualifications Examinations or in the Regulatory Element of Continuing Education	40
Arbitration Award—Failure to Honor or Failure to Honor in a Timely Manner	18
Borrowing From or Lending to Customers—Failure to Comply With Rule Requirements	77
Churning or Excessive Trading	78
Communications With the Public—Late Filing; Failing to File; Failing to Comply With Rule Standards or Use of Misleading Communications	79
Confidentiality Agreements—Settling With Customer in Exchange for Customer Agreement Not to Cooperate With Regulatory Authorities	32
Conversion or Improper Use of Funds or Securities	36
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	33
Forgery, Unauthorized Use of Signatures or Falsification of Records	37
Settling Customer Complaints Away From the Firm	34
Continuing Education (Firm Element)—Failure to Comply With Rule Requirements	41
Continuing Education (Regulatory Element)—Failure to Comply With Rule Requirements	42
Disqualified Person Associating With Firm Prior to Approval; Firm Allowing Disqualified Person to Associate Prior to Approval	43
Member Agreement Violations	44
Registration Violations	45
Corporate Financing Rule—Failure to Comply With Rule Requirements	20
Engaging in Prohibited Municipal Securities Business	21
Customer Account Transfer Contracts—Failure to Comply With Rule Requirements	82
Customer Confirmations—Failure to Comply With Rule Requirements	26
Customer Protection Rule—Failure to Comply With Rule Requirements	27
Net Capital Violations	28
Recordkeeping Violations	29
Day-Trading Accounts—Failure to Comply With Risk Disclosure Requirements; Failure Appropriately to Approve an Account for Day Trading; Failure to Preserve Required Day—Trading Records	83
Discretion—Exercise of Discretion Without Customer's Written Authority	86
Guaranteeing a Customer Against Loss	87
Disqualified Persons—Failure to Discharge Supervisory Obligations	101
ECN Display Rule—Failure to Comply With Rule Requirements	52
Failure to Display Minimum Size in NASDAQ Securities, COS Securities and OTC Bulletin Board Securities	53
Escrow Violations—Prohibited Representations in Contingency Offerings; Transmission or Maintenance of Customer Funds in Underwritings	22
Restrictions on the Purchase and Sale of Initial Equity Public Offerings Violations	23
Extended Hours Trading Risk Disclosure—Failure to Comply With Rule Requirements	47
FOCUS Reports—Late Filing; Failing to File; Filing False or Misleading Reports	70
Forms U4/U5—Late Filing of Forms or Amendments; Failing to File Forms or Amendments; Filing of False, Misleading or Inaccurate Forms or Amendments	71
Institutional Communications—Failing to Establish and Maintain Written Procedures in Compliance With Rule Standards; Failing to Comply With Rule Standards Regarding Recordkeeping	88
Fraud, Misrepresentations or Material Omissions of Fact	89
Limit Order Display Rule—Failure to Comply With Rule Requirements	54
Limit Order Protection Rule—Failure to Comply With Rule Requirements	55
Locked/Crossed Market—Failure to Comply With Rule Requirements	56
Marking the Close or Open	57
MSRB Rule G-37 Reporting—Late Filing; Failing to File; Filing False or Misleading Reports	72
Options Exercise and Positions Limits—Failure to Comply With Rule Requirements	58
Options Positions Reporting—Late Reporting and Failing to Report	59
Order Audit Trail System (OATS)—Late Reporting; Failing to Report; False, Inaccurate or Misleading Reporting; and Clock Synchronization Failure	60
Passive Market Making Violations	61
Prohibition on Transactions, Publication of Quotations or Publication of Indications of Interest During a Trading Halt	62
Reports of Execution Quality and Order Routing	63
Short Interest Reporting	64
Short Sale Violations	65
Outside Business Activities—Failure to Comply With Rule Requirements	13
Penny Stock Rules—Failure to Comply With Rule Requirements	90
Pricing—Excessive Markups/Markdowns and Excessive Commissions	91
Regulation M Reports—Late Filing; Failing to File; False or Misleading Filing	73
Regulation T and Margin Requirements—Violations of Regulation T and/or FINRA Margin Requirements	30
Reportable Events Under NASD Rule 3070—Late Reporting; Failing to Report; Filing False, Inaccurate or Misleading Reports	74
Request for Automated Submission of Trading Data—Failure to Respond in a Timely and Accurate Manner	75
Research Analysts and Research Reports—Failing to Comply With Rule Requirements Regarding (1) Relationships Between Research Department and Investment Banking Department; (2) Compensation for Research Analysts; and (3) Relationships Between Research Analysts and Subject Companies	92
Research Analysts and Research Reports—Failing to Comply With Rule Requirements Regarding (1) Restrictions on Publishing Research Reports and Public Appearances of Research Analysts; (2) Restrictions on Personal Trading of Research Analysts; and (3) Disclosure Requirements for Research Reports and Public Appearances of Research Analysts	93
Selling Away (Private Securities Transactions)	14
Suitability—Unsuitable Recommendations	95
Supervision—Failure to Comply With Taping Rule Requirements	102
Supervision—Failure to Supervise	104
Supervision—Systemic Supervisory Failures	105
Supervisory Procedures—Deficient Written Supervisory Procedures	107
Telemarketing—Failing to Comply With Time-of-Day Restrictions and Do-Not-Call Lists; Failing to Establish and Maintain Procedures to Comply With Rule 3230(a)	96
Trading Ahead of Research Reports	98
Unauthorized Transactions and Failures to Execute Buy or Sell Orders	99
Trade Reporting and Compliance Engine (TRACE)—Late Reporting; Failing to Report; False, Inaccurate or Incomplete Reporting	66
Trade Reporting—Late Reporting; Failing to Report; False, Inaccurate or Misleading Reporting	68
Transactions for or by Associated Persons—Failure to Comply With Rule Requirements	16
Unregistered Securities—Sales of	24

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