… 9216. Acceptance, Waiver, and Consent; Plan Pursuant to SEA Rule 19d-1(c)(2) … rulesguidancerulebooksfinrarules9216 … /rules-guidance/rulebooks/finra-rules/9216 … … Waiver, and Consent Procedures (1) Notwithstanding Rule 9211 , if the Department of Enforcement has reason to believe a violation has occurred and the member or associated person does not dispute the violation, the … request that the member or associated person execute a letter accepting a finding of violation, consenting to the imposition of sanctions, and agreeing to waive such member's or associated person's right to a hearing …
… 9215. Answer to Complaint … rulesguidancerulebooksfinrarules9215 … /rules-guidance/rulebooks/finra-rules/9215 … (a) Form, Service, Notice Pursuant to Rule 9133 , each Respondent named in a complaint shall serve an answer to the complaint on all other Parties within 25 days after service of the complaint on such Respondent, and at …
… 9213. Assignment of Hearing Officer and Appointment of Panelists to Hearing Panel or Extended Hearing Panel … rulesguidancerulebooksfinrarules9213 … … a complaint with the Office of Hearing Officers, the Chief Hearing Officer shall assign a Hearing Officer to preside over the disciplinary proceeding and shall serve the Parties with notice of the Hearing Officer's assignment pursuant to Rule 9132 . (b) Appointment of Panelists As soon as practicable after assigning a Hearing Officer to …
… 8320. Payment of Fines, Other Monetary Sanctions, or Costs; Summary Action for Failure to Pay … rulesguidancerulebooksfinrarules8320 … /rules-guidance/rulebooks/finra-rules/8320 … (a) Payment to Treasurer All fines and other monetary sanctions shall be paid to the Treasurer of FINRA and shall be used for the general corporate purposes. (b) Summary Suspension or …
… 8110. Availability of Manual to Customers … rulesguidancerulebooksfinrarules8110 … /rules-guidance/rulebooks/finra-rules/8110 … Members … examination by customers upon request. Members may comply with this Rule by maintaining electronic access to the FINRA Manual and providing customers with such access upon request. Amended by SR-FINRA-2008-021 eff. … Rule … rules … 8110. … Notices - 89-71 … Notices - 90-74 … Notices - 08-57 … 8110. Availability of Manual to Customers …
… 7583. Penalties Incurred Pursuant to the National Market System Data Plans … rulesguidancerulebooksfinrarules7583 … … through any penalties incurred under the National Market System data plans and allocate them accordingly to the ADF Trading Center that exceeds its projected message traffic. Each ADF Trading Center will be invoiced … System Plans: (1) FINRA will use the metrics of the applicable Securities Information Processor (SIP) to determine if a penalty has been incurred and will use its own metrics to allocate the penalty to the …
… 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 …
… 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 …
