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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