… 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 …
… 6121. Trading Halts Due to Extraordinary Market Volatility … rulesguidancerulebooksfinrarules6121 … /rules-guidance/rulebooks/finra-rules/6121 … Pursuant to the procedures set forth in Rule 6120 (b), FINRA shall halt all trading otherwise than on an exchange in … of SEC Regulation NMS, if other major securities markets initiate market-wide trading halts in response to their rules or extraordinary market conditions or if otherwise directed by the SEC. Members must halt …
… PART III INITIATING AND RESPONDING TO CLAIMS … rulesguidancerulebooksfinrarulespartiii0 … /rules-guidance/rulebooks/finra-rules/part-iii-0 … … - PART III FINRA Rules 13000 PART III Rule … rules … 13000 PART III … PART III INITIATING AND RESPONDING TO CLAIMS …
… IM-13000. Failure to Act Under Provisions of Code of Arbitration Procedure for Industry 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 …
… 12700. Dismissal of Proceedings Prior to Award … rulesguidancerulebooksfinrarules12700 … /rules-guidance/rulebooks/finra-rules/12700 … (a) The panel must dismiss an arbitration or a claim at the joint request of the parties to that arbitration or claim. The dismissal will be with or without prejudice, depending on the request of the … - 08-57 … rules … 12700. … Notices - 07-07 … Notices - 08-57 … 12700. Dismissal of Proceedings Prior to Award …
… 12603. Failure to Appear … rulesguidancerulebooksfinrarules12603 … /rules-guidance/rulebooks/finra-rules/12603 … If a party fails to appear at a hearing after having been notified of the time, date and place of the hearing, the panel may … Notices - 07-07 Notices - 08-57 Rule … rules … 12603. … Notices - 07-07 … Notices - 08-57 … 12603. Failure to Appear …
… 12513. Authority of Panel to Direct Appearances of Associated Person Witnesses and Production of Documents Without Subpoenas … … serve the motion or draft order on a non-party. (c) If a party receiving a motion and draft order objects to the scope or propriety of the order, that party shall, within 10 calendar days of service of the motion, … the Director and shall serve copies on all other parties. The party that requested the order may respond to the objections within 10 calendar days of receipt of the objections. After considering all objections, the …
