5000. SECURITIES OFFERING AND TRADING STANDARDS AND PRACTICES
- 5100. SECURITIES OFFERINGS, UNDERWRITING AND COMPENSATION
- 5110. Corporate Financing Rule — Underwriting Terms and Arrangements
- 5120. Offerings of Members’ Securities
- 5121. Public Offerings of Securities With Conflicts of Interest
- 5122. Private Placements of Securities Issued by Members
- 5123. Private Placements of Securities
- 5130. Restrictions on the Purchase and Sale of Initial Equity Public Offerings
- 5131. New Issue Allocations and Distributions
- 5140. Integrity of Fixed Price Offerings
- 5141. Sale of Securities in a Fixed Price Offering
- 5150. Fairness Opinions
- 5160. Disclosure of Price and Concessions in Selling Agreements
- 5190. Notification Requirements for Offering Participants
- 5200. QUOTATION AND TRADING OBLIGATIONS AND PRACTICES
- 5210. Publication of Transactions and Quotations
- 5220. Offers at Stated Prices
- 5230. Payments Involving Publications that Influence the Market Price of a Security
- 5240. Anti-Intimidation/Coordination
- 5250. Payments for Market Making
- 5260. Prohibition on Transactions, Publication of Quotations, or Publication of Indications of Interest During Trading Halts
- 5270. Front Running of Block Transactions
- 5280. Trading Ahead of Research Reports
- 5290. Order Entry and Execution Practices
- 5300. HANDLING OF CUSTOMER ORDERS