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The Rule 9000 Series is the Code of Procedure and includes proceedings for disciplining a member or person associated with a member; proceedings for regulating the activities of a member experiencing financial or operational difficulties; proceedings for summary or non-summary suspensions, cancellations, bars, prohibitions, or limitations; and proceedings for obtaining relief from the eligibility requirements of the FINRA By-Laws and FINRA rules. The Rule 9100 Series is of general applicability to all proceedings set forth in the Rule 9000 Series, unless a Rule specifically provides otherwise.
(b) Rights, Duties, and Obligations of Members and Associated Persons
Unless otherwise specified, a person associated with a member shall have the same rights as a member and shall be subject to the same duties and obligations under the Code of Procedure.
(c) Incorporation of Defined Terms and Cross References
Unless otherwise provided, terms used in the Rule 9000 Series shall have the meaning as defined in Rules 0160 and 9120. References within the Rule 9000 Series to FINRA offices or departments refer to offices so designated by FINRA or FINRA Regulation.
Amended by SR-FINRA-2012-007 eff. Feb. 21, 2012.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Amended by SR-NASD-2005-087 eff. Aug. 1, 2006
Amended by SR-NASD-97-81 eff. Jan. 16, 1998.
Amended by SR-NASD-97-97 eff. Jan. 15, 1998.
Adopted by SR-NASD-97-28 eff. Aug. 07, 1997.
Selected Notice: 08-57.