… 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 …
… 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 …
… 9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing … … (a) Notice of Suspension or Cancellation If a member, person associated with a member or person subject to FINRA's jurisdiction fails to comply with an arbitration award or a settlement agreement related to an arbitration or mediation under …
… 9553. Failure to Pay FINRA Dues, Fees and Other Charges … rulesguidancerulebooksfinrarules9553 … … Notice of Suspension, Cancellation or Bar If a member, person associated with a member or person subject to FINRA's jurisdiction fails to pay any fees, dues, assessment or other charge required to be paid under the FINRA By-Laws or rules, or to …
… 9552. Failure to Provide Information or Keep Information Current … rulesguidancerulebooksfinrarules9552 … … … (a) Notice of Suspension of Member, Person Associated with a Member or Person Subject to FINRA's Jurisdiction if Corrective Action is Not Taken If a member, person associated with a member or person subject to FINRA's jurisdiction fails to provide any information, report, material, data, or testimony requested or …
… 9551. Failure to Comply with Public Communication Standards … rulesguidancerulebooksfinrarules9551 … /rules-guidance/rulebooks/finra-rules/9551 … (a) Notice of Pre-Use Filing Requirement Pursuant to Rules 2210 (c)(1)(B) and 2220 (c)(2), FINRA staff may issue a written notice requiring a member to file communications with the FINRA Advertising Regulation Department at least ten days prior to use if …
… 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 …
… 9345. Subcommittee or Extended Proceeding Committee Recommended Decision to National Adjudicatory Council … rulesguidancerulebooksfinrarules9345 … … or, if applicable, an Extended Proceeding Committee, shall present a recommended decision in writing to the National Adjudicatory Council before the meeting of the National Adjudicatory Council at which the … rules … 9345. … Notices - 08-57 … 9345. Subcommittee or Extended Proceeding Committee Recommended Decision to National Adjudicatory Council …
… 9344. Failure to Participate Below; Abandonment of Appeal … rulesguidancerulebooksfinrarules9344 … /rules-guidance/rulebooks/finra-rules/9344 … (a) Failure to Participate Below If an appealing Party did not participate in the disciplinary proceeding before a Hearing Officer, a Hearing Panel or, if applicable, an Extended Hearing Panel, and fails to show good cause for the failure to participate, the matter shall be considered by the Subcommittee or, if …
… 9342. Failure to Appear at Oral Argument … rulesguidancerulebooksfinrarules9342 … /rules-guidance/rulebooks/finra-rules/9342 … A Party who requests oral argument but fails to appear after being duly notified shall be deemed to have waived any opportunity for oral argument provided under the Rule 9300 Series. The Subcommittee or, if …
