… 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 …
… 6130. Transactions Related to Initial Public Offerings … rulesguidancerulebooksfinrarules6130 … … … (a) No member or person associated with a member shall execute or cause to be executed, directly or indirectly, a transaction otherwise than on an exchange in a security subject to an initial public offering until such security has first opened for trading on the national securities …
… 13403. Generating and Sending Lists to the Parties … rulesguidancerulebooksfinrarules13403 … /rules-guidance/rulebooks/finra-rules/13403 … For … conflicts of interest not identified within the list selection algorithm. If an arbitrator is removed due to such conflicts, the list selection algorithm will generate a replacement arbitrator. (b) Lists Generated in … conflicts of interest not identified within the list selection algorithm. If an arbitrator is removed due to such conflicts, the list selection algorithm will randomly select an arbitrator to complete the list. (c) …
