… 1019. Application to the SEC for Review … rulesguidancerulebooksfinrarules1019 … /rules-guidance/rulebooks/finra-rules/1019 … A … aggrieved by final action of FINRA under the Rule 1000 Series may apply for review by the SEC pursuant to Section 19(d)(2) of the Exchange Act. The filing of an application for review shall not stay the … 1019. Notices - 92-2 Notices - 94-22 … rules … 1019. … Notices - 92-2 … Notices - 94-22 … 1019. Application to the SEC for Review …
… 0180. Application of Rules to Security-Based Swaps … rulesguidancerulebooksfinrarules0180 … /rules-guidance/rulebooks/finra-rules/0180 … (a) Except as otherwise provided in this Rule, the Rules shall apply to members’ activities and positions with respect to security-based swaps. (b) The following Rules shall not apply to members’ activities and positions with …
… 0150. Application of Rules to Exempted Securities Except Municipal Securities … rulesguidancerulebooksfinrarules0150 … … in Sections 3(a)(12) and 3(a)(29) of the Exchange Act, respectively. (b) The Rules are not intended to be, and shall not be construed as, rules concerning transactions in municipal securities. (c) Unless otherwise indicated within a particular Rule, the following rules are applicable to transactions in, and business activities relating to, exempted securities, except municipal securities, …
… 7350. Obligation to Honor Trades … rulesguidancerulebooksfinrarules7350 … /rules-guidance/rulebooks/finra-rules/7350 … If a Participant is reported by the System as a party to a trade that has been treated as locked-in and sent to DTCC, notwithstanding any other agreement to the contrary, that party shall be obligated to act as a …
… 7250B. Obligation to Honor Trades … rulesguidancerulebooksfinrarules7250b … /rules-guidance/rulebooks/finra-rules/7250b … If a Participant is reported by the System as a party to a trade that has been treated as locked-in and sent to DTCC, notwithstanding any other agreement to the contrary, that party shall be obligated to act as a …
… 7250A. Obligation to Honor Trades … rulesguidancerulebooksfinrarules7250a … /rules-guidance/rulebooks/finra-rules/7250a … If a Participant is reported by the System as a party to a trade that has been treated as locked-in and sent to DTCC, notwithstanding any other agreement to the contrary, that party shall be obligated to act as a …
… 7150. Obligation to Honor Trades … rulesguidancerulebooksfinrarules7150 … /rules-guidance/rulebooks/finra-rules/7150 … If a Participant is reported by the System as a party to a trade that has been treated as locked-in and sent to DTCC, notwithstanding any other agreement to the contrary, that party shall be obligated to act as a …
… 6760. Obligation To Provide Notice and Dissemination of Corporate Debt Security New Issue Reference Data … rulesguidancerulebooksfinrarules6760 … /rules-guidance/rulebooks/finra-rules/6760 … (a) Members Required to Provide Notice (1) To facilitate trade reporting and dissemination of transactions in TRACE-Eligible Securities, a member that is …
… 6630. Applicability of FINRA Rules to Securities Previously Designated as PORTAL Securities … rulesguidancerulebooksfinrarules66300 … /rules-guidance/rulebooks/finra-rules/6630-0 … (a) The following are specifically applicable to transactions and business activities relating to securities that, prior to October 26, 2009, had been designated by The Nasdaq Stock Market LLC for …
… 12409. Jurisdiction of Panel and Authority to Interpret the Code … rulesguidancerulebooksfinrarules124090 … /rules-guidance/rulebooks/finra-rules/12409-0 … The panel has the authority to interpret and determine the applicability of all provisions under the Code. Such interpretations are final … … 12409. … Notices - 07-07 … Notices - 08-57 … Notices - 11-05 … 12409. Jurisdiction of Panel and Authority to Interpret the Code …
