… 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 …
… 6282. Transactions Reported by Members to the ADF … rulesguidancerulebooksfinrarules6282 … /rules-guidance/rulebooks/finra-rules/6282 … (a) When and … Market Hours Members shall, as soon as practicable but no later than 10 seconds after execution, transmit to the ADF, or if the ADF is unavailable due to system or transmission failure, by telephone, facsimile or e-mail to FINRA Market Operations, last sale …
… 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 …
… 63 … 4551. Requirements for Alternative Trading Systems to Record and Transmit Order and Execution Information for Security Futures … … of this Rule, the term "order" includes a broker - dealer's proprietary quotes that are transmitted to an alternative trading system. (2) Alternative trading systems shall record each item of information required to be recorded under this Rule in such manner and form as is prescribed by FINRA from time to time. (3) …
… 4518. Notification to FINRA in Connection with the JOBS Act … rulesguidancerulebooksfinrarules4518 … … … A member shall notify FINRA, in a manner prescribed by FINRA: (a) prior to engaging, for the first time, in a transaction involving the offer or sale of securities in reliance on … controlling, or being controlled by or under common control with, a funding portal as defined pursuant to Rule 300(c)(2) of SEC Regulation Crowdfunding. Adopted by SR-FINRA-2015-040 eff. Jan. 29, 2016. Selected …
