… IM-12000. Failure to Act Under Provisions of Code of Arbitration Procedure for Customer Disputes … … principles of trade and a violation of Rule 2010 for a member or a person associated with a member to: (a) fail to submit a dispute for arbitration under the Code as required by the Code; (b) fail to comply with any …
… 3611 … 11740. Marking to the Market … rulesguidancerulebooksfinrarules11740 … /rules-guidance/rulebooks/finra-rules/11740 … (a) … the market value of the subject of a contract in securities may demand from the other party a deposit equal to the difference between the contract price and the market price, without being required to make a mutual deposit. Such deposit shall be made either with the member demanding same or with a mutually …
… 11721. Obligations of Members Who Discover Securities in Their Possession to Which They Are Not Entitled … rulesguidancerulebooksfinrarules11721 … /rules-guidance/rulebooks/finra-rules/11721 … Any member who discovers securities in its possession to which it is not entitled is required to make reasonable attempts to ascertain and to promptly notify the true owner of such securities and to take …
… 11111. Refusal to Abide by Rulings of the Committee … rulesguidancerulebooksfinrarules11111 … … … It shall be considered conduct inconsistent with just and equitable principles of trade for any member to refuse to take any action that is necessary to effectuate a final decision of a FINRA officer or the UPC Committee …
… 9870. Application to SEC for Review … rulesguidancerulebooksfinrarules9870 … /rules-guidance/rulebooks/finra-rules/9870 … Temporary and permanent cease and desist orders issued pursuant to this Rule Series constitute final disciplinary sanctions imposed by FINRA and are immediately effective, unless otherwise specified therein. The right to have any action under this Rule Series reviewed by the SEC is governed by Section 19 of the Exchange Act. …
… 9770. Application to SEC for Review … rulesguidancerulebooksfinrarules9770 … /rules-guidance/rulebooks/finra-rules/9770 … Any … shall constitute final FINRA action. A person aggrieved by any final FINRA action issued pursuant to Rule 9750 or Rule 9760 may make application for review to the SEC in accordance with the Exchange Act. Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008. Renumbered …
… 9556. Failure to Comply with Temporary and Permanent Cease and Desist Orders, or Orders that Impose Conditions or … of Suspension, Cancellation or Bar (1) If a member, person associated with a member or person subject to FINRA's jurisdiction fails to comply with a temporary or permanent cease and desist order issued under the Rule 9200 , 9300 or 9800 …
… 9527. Application to SEC for Review … rulesguidancerulebooksfinrarules9527 … /rules-guidance/rulebooks/finra-rules/9527 … The right to have any action taken pursuant to this Rule Series reviewed by the SEC is governed by Section 19 of the Exchange Act. The filing of an …
… 9523. Acceptance of Member Regulation Recommendations and Supervisory Plans by Consent Pursuant to SEA Rule 19h-1 … rulesguidancerulebooksfinrarules9523 … /rules-guidance/rulebooks/finra-rules/9523 … (a) With respect to all disqualifications, except those arising solely from findings or orders specified in Section … member or sponsoring member or the association or continuing association of a disqualified person pursuant to a supervisory plan where the disqualified member, sponsoring member, and/or disqualified person, as the …
… 9370. Application to SEC for Review … rulesguidancerulebooksfinrarules9370 … /rules-guidance/rulebooks/finra-rules/9370 … (a) Appeal to SEC; Effect The right to have any action pursuant to the Rule 9200 Series or the Rule 9300 Series reviewed by the SEC is governed by …
