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0100. General Standards 1000. Member Application and Associated Person Registration 2000. Duties and Conflicts 3000. Supervision and Responsibilities Relating to Associated Persons 3100. SUPERVISORY RESPONSIBILITIES 3200. RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS 3300. ANTI-MONEY LAUNDERING 4000. Financial and Operational Rules 4100. FINANCIAL CONDITION 4200. MARGIN 4300. OPERATIONS 4500. BOOKS, RECORDS AND REPORTS 5000. Securities Offering and Trading Standards and Practices 5100. SECURITIES OFFERINGS, UNDERWRITING AND COMPENSATION 5200. QUOTATION AND TRADING OBLIGATIONS AND PRACTICES 5300. HANDLING OF CUSTOMER ORDERS 6000. Quotation, Order, and Transaction Reporting Facilities 6100. QUOTING AND TRADING IN NMS STOCKS 6200. ALTERNATIVE DISPLAY FACILITY 6300. TRADE REPORTING FACILITIES 6400. QUOTING AND TRADING IN OTC EQUITY SECURITIES 6600. OTC REPORTING FACILITY 6700. TRADE REPORTING AND COMPLIANCE ENGINE (TRACE) 6800. CONSOLIDATED AUDIT TRAIL COMPLIANCE RULE 7000. Clearing, Transaction and Order Data Requirements, and Facility Charges 7100. ALTERNATIVE DISPLAY FACILITY 7200. TRADE REPORTING FACILITIES 7300. OTC REPORTING FACILITY 7500. CHARGES FOR ALTERNATIVE DISPLAY FACILITY SERVICES AND EQUIPMENT 7600. DATA PRODUCTS AND CHARGES FOR TRADE REPORTING FACILITY SERVICES 7700. CHARGES FOR OTC REPORTING FACILITY, OTC BULLETIN BOARD AND TRADE REPORTING AND COMPLIANCE ENGINE SERVICES 8000. Investigations and Sanctions 8100. GENERAL PROVISIONS 8200. INVESTIGATIONS 8300. SANCTIONS 9000. Code of Procedure 9100. APPLICATION AND PURPOSE 9200. DISCIPLINARY PROCEEDINGS9210. Complaint and Answer 9211. Authorization of Complaint 9212. Complaint Issuance — Requirements, Service, Amendment, Withdrawal, and Docketing 9213. Assignment of Hearing Officer and Appointment of Panelists to Hearing Panel or Extended Hearing Panel 9214. Consolidation or Severance of Disciplinary Proceedings 9215. Answer to Complaint 9216. Acceptance, Waiver, and Consent; Plan Pursuant to SEA Rule 19d-1(c)(2) 9217. Violations Appropriate for Disposition Under Plan Pursuant to SEA Rule 19d-1(c)(2) 9220. Request for Hearing; Extensions of Time, Postponements, Adjournments 9221. Request for Hearing 9222. Extensions of Time, Postponements, and Adjournments 9230. Appointment of Hearing Panel, Extended Hearing Panel 9231. Appointment by the Chief Hearing Officer of Hearing Panel or Extended Hearing Panel or Replacement Hearing Officer 9232. Criteria for Selection of Panelists and Replacement Panelists 9233. Hearing Panel or Extended Hearing Panel: Recusal and Disqualification of Hearing Officers 9234. Hearing Panel or Extended Hearing Panel: Recusal and Disqualification of Panelists 9235. Hearing Officer Authority 9240. Pre-hearing Conference and Submission 9241. Pre-hearing Conference 9242. Pre-hearing Submission 9250. Discovery 9251. Inspection and Copying of Documents in Possession of Staff 9252. Requests for Information 9253. Production of Witness Statements 9260. Hearing and Decision 9261. Evidence and Procedure in Hearing 9262. Testimony 9263. Evidence: Admissibility 9264. Motion for Summary Disposition 9265. Record of Hearing 9266. Proposed Findings of Fact, Conclusions of Law, and Post-Hearing Briefs 9267. Record; Supplemental Documents Attached to Record; Retention 9268. Decision of Hearing Panel or Extended Hearing Panel 9269. Default Decisions 9270. Settlement Procedure 9280. Contemptuous Conduct 9285. Interim Orders and Mandatory Heightened Supervision While on Appeal or on Discretionary Review 9290. Expedited Disciplinary Proceedings 9291. Permanent Cease and Desist Orders 9300. REVIEW OF DISCIPLINARY PROCEEDING BY NATIONAL ADJUDICATORY COUNCIL AND FINRA BOARD; APPLICATION FOR SEC REVIEW 9500. OTHER PROCEEDINGS 9600. PROCEDURES FOR EXEMPTIONS 9700. PROCEDURES ON GRIEVANCES CONCERNING THE AUTOMATED SYSTEMS 9800. TEMPORARY AND PERMANENT CEASE AND DESIST ORDERS 9900. RESTRICTIONS ON FORMER FINRA OFFICERS AND EMPLOYEES; NONPUBLIC INFORMATION 11000. Uniform Practice Code 12000. Code of Arbitration Procedure for Customer Disputes PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION AND AUTHORITY PART II GENERAL ARBITRATION RULES PART III INITIATING AND RESPONDING TO CLAIMS PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS PART V PREHEARING PROCEDURES AND DISCOVERY PART VI HEARINGS; EVIDENCE; CLOSING THE RECORD PART VII TERMINATION OF AN ARBITRATION BEFORE AWARD PART VIII SIMPLIFIED ARBITRATION, DEFAULT PROCEEDINGS, AND EXPUNGEMENT PROCEEDINGS PART IX FEES AND AWARDS 13000. Code of Arbitration Procedure for Industry Disputes PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION AND AUTHORITY PART II GENERAL ARBITRATION RULES PART III INITIATING AND RESPONDING TO CLAIMS PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS PART V PREHEARING PROCEDURES AND DISCOVERY PART VI HEARINGS; EVIDENCE; CLOSING THE RECORD PART VII TERMINATION OF AN ARBITRATION BEFORE AWARD PART VIII SIMPLIFIED ARBITRATION; DEFAULT PROCEEDINGS; SEXUAL ASSAULT CLAIMS, SEXUAL HARASSMENT CLAIMS, OR STATUTORY EMPLOYMENT DISCRIMINATION CLAIMS; INJUNCTIVE RELIEF; EXPUNGEMENT PROCEEDINGS; AND PROMISSORY NOTE PROCEEDINGS PART IX FEES AND AWARDS 14000. Code of Mediation Procedure
