… 166046 … 2081. Prohibited Conditions Relating to Expungement of Customer Dispute … rulesguidancerulebooksfinrarules2081 … /rules-guidance/rulebooks/finra-rules/2081 … No member or associated person shall condition or seek to condition settlement of a dispute with a customer on, or to otherwise compensate the customer for, the customer's agreement to consent to, or not to oppose, the …
… 166046 … 13806. Panel to Decide Requests for Expungement of Customer Dispute Information Filed by an Associated Person under Rule … … /rules-guidance/rulebooks/finra-rules/13806 … (a) Applicability This Rule applies to claims that request expungement of customer dispute information filed by an associated person against a member firm, pursuant to Rule 13805. Except as otherwise provided in this Rule, all provisions of the Code apply to such claims. (b) …
… IM-1013-3. Membership Application Process for Certain Firms Applying Due to Amended SEA Rule 15b9-1 … rulesguidancerulebooksfinrarulesim10133 … … Material sets forth a membership application process for those firms that must become FINRA members due to amendments to SEA Rule 15b9-1, as adopted by the SEC on August 23, 2023. This membership application process is available …
… 63 … 4551. Requirements for Alternative Trading Systems to Record and Transmit Order and Execution Information for Security Futures … … of this Rule, the term "order" includes a broker - dealer's proprietary quotes that are transmitted to an alternative trading system. (2) Alternative trading systems shall record each item of information required to be recorded under this Rule in such manner and form as is prescribed by FINRA from time to time. (3) …
… 4518. Notification to FINRA in Connection with the JOBS Act … rulesguidancerulebooksfinrarules4518 … … … A member shall notify FINRA, in a manner prescribed by FINRA: (a) prior to engaging, for the first time, in a transaction involving the offer or sale of securities in reliance on … controlling, or being controlled by or under common control with, a funding portal as defined pursuant to Rule 300(c)(2) of SEC Regulation Crowdfunding. Adopted by SR-FINRA-2015-040 eff. Jan. 29, 2016. Selected …
… 3000. SUPERVISION AND RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS … rulesguidancerulebooksfinrarules3000 … /rules-guidance/rulebooks/finra-rules/3000 … … Institutions 3170. Tape Recording of Registered Persons by Certain Firms 3200. RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS 3210. Accounts At Other Broker-Dealers and Financial Institutions 3220. Influencing or Rewarding Employees of Others 3230. Telemarketing 3240. Borrowing From or Lending to Customers 3241. Registered Person Being Named a Customer’s Beneficiary or Holding a Position of Trust for a …
… 2351. General Provisions Applicable to Trading in Index Warrants, Currency Index Warrants and Currency Warrants … … … (a) General (1) Applicability — This Rule 2350 Series shall be applicable to the extent appropriate unless otherwise stated herein, to the conduct of accounts, the execution of transactions, and the handling of orders in exchange-listed stock …
… 4445 … 225 … 2273. Educational Communication Related to Recruitment Practices and Account Transfers … rulesguidancerulebooksfinrarules2273 … … Communication Delivery Requirement A member that hires or associates with a registered person shall provide to a former customer of the registered person, individually, in paper or electronic form, an educational … or through that registered person, individually contacts the former customer of that registered person to transfer assets or (2) the former customer of that registered person, absent individualized contact, …
… 2263. Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4 … rulesguidancerulebooksfinrarules2263 … … an associated person with the following written statement whenever the associated person is asked, pursuant to FINRA Rule 1010 , to sign an initial or amended Form U4, or otherwise provide written (which may be electronic) acknowledgment …
