… 2114. Recommendations to Customers in OTC Equity Securities … rulesguidancerulebooksfinrarules2114 … … … Preliminary Note: The requirements of this Rule are in addition to other existing member obligations under FINRA rules and the federal securities laws, including obligations to determine suitability of particular securities transactions with customers and to have a reasonable basis …
… 1122. Filing of Misleading Information as to Membership or Registration … rulesguidancerulebooksfinrarules1122 … … … No member or person associated with a member shall file with FINRA information with respect to membership or registration which is incomplete or inaccurate so as to be misleading, or which could in any way tend to mislead, or fail to correct such filing after notice …
… 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 …
… 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 …
… 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 …
… 6191. Compliance with Regulation NMS Plan to Implement a Tick Size Pilot Program … rulesguidancerulebooksfinrarules6191 … … Members shall establish, maintain and enforce written policies and procedures that are reasonably designed to comply with the applicable quoting and trading requirements of the Plan. (2) FINRA Compliance FINRA systems … drops below $1.00 during regular trading hours on any trading day, such Pilot Security will continue to be subject to the Plan and the requirements enumerated in subparagraphs (4) through (6) below and will …
… 6190. Compliance with Regulation NMS Plan to Address Extraordinary Market Volatility … rulesguidancerulebooksfinrarules6190 … … Stock shall establish, maintain and enforce written policies and procedures that are reasonably designed to comply with the requirements of the Regulation NMS Plan to Address Extraordinary Market Volatility (Plan) and specifically to prevent: ( a ) the execution of trades …
… 6150. Obligation to Provide Information … rulesguidancerulebooksfinrarules6150 … /rules-guidance/rulebooks/finra-rules/6150 … … shall provide information orally, in writing, or electronically (if such information is, or is required to be, maintained in electronic form) to the staff of FINRA when FINRA staff makes an oral, written or electronically communicated request for …
