… 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 …
… 6760. Obligation To Provide Notice and Dissemination of Corporate Debt Security New Issue Reference Data … rulesguidancerulebooksfinrarules6760 … /rules-guidance/rulebooks/finra-rules/6760 … (a) Members Required to Provide Notice (1) To facilitate trade reporting and dissemination of transactions in TRACE-Eligible Securities, a member that is …
… 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 …
… 12409. Jurisdiction of Panel and Authority to Interpret the Code … rulesguidancerulebooksfinrarules124090 … /rules-guidance/rulebooks/finra-rules/12409-0 … The panel has the authority to interpret and determine the applicability of all provisions under the Code. Such interpretations are final … … 12409. … Notices - 07-07 … Notices - 08-57 … Notices - 11-05 … 12409. Jurisdiction of Panel and Authority to Interpret the Code …
… 12308. Loss of Defenses Due to Untimely or Incomplete Answer … rulesguidancerulebooksfinrarules12308 … … may, upon motion, bar that party from presenting any defenses or facts at the hearing, unless the time to answer was extended in accordance with the Code. The party may also be subject to default proceedings under Rule 12801 , if the conditions of Rule 12801 (a) apply. (b) If a party answers a …
… PART III INITIATING AND RESPONDING TO CLAIMS … rulesguidancerulebooksfinrarulespartiii … /rules-guidance/rulebooks/finra-rules/part-iii … FINRA … - PART III FINRA Rules 12000 PART III Rule … rules … 12000 PART III … PART III INITIATING AND RESPONDING TO CLAIMS …
… 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 …
