9710. Purpose
The purpose of this Rule 9700 Series is to provide, where justified, redress for persons aggrieved by the operations of any automated quotation, execution, or communication system owned or operated by FINRA, or FINRA Regulation, and approved by the SEC, not otherwise provided for by the FINRA rules.
| Amended by SR-FINRA-2015-034 eff. Dec. 20, 2015. Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008. Amended by SR-NASD-2007-052 eff. Aug. 1, 2008. Amended by SR-NASD-2005-087 eff. Aug. 1, 2006 Amended by SR-NASD-2002-97 eff. July 29, 2002. Amended by SR-NASD-98-88 eff. May 4, 1999. Amended by SR-NASD-97-97 eff. Jan. 15, 1998. Amended by SR-NASD-90-6 eff. Apr. 2, 1990. Amended by SR-NASD-82-11 eff. April 15, 1985. Selected Notices: 85-27, 89-55, 08-34, 08-57, 16-04. |