… 2351. General Provisions Applicable to Trading in Index Warrants, Currency Index Warrants and Currency Warrants … … … (a) General (1) Applicability — This Rule 2350 Series shall be applicable to the extent appropriate unless otherwise stated herein, to the conduct of accounts, the execution of transactions, and the handling of orders in exchange-listed stock …
… 4445 … 225 … 2273. Educational Communication Related to Recruitment Practices and Account Transfers … rulesguidancerulebooksfinrarules2273 … … Communication Delivery Requirement A member that hires or associates with a registered person shall provide to a former customer of the registered person, individually, in paper or electronic form, an educational … or through that registered person, individually contacts the former customer of that registered person to transfer assets or (2) the former customer of that registered person, absent individualized contact, …
… 2263. Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4 … rulesguidancerulebooksfinrarules2263 … … an associated person with the following written statement whenever the associated person is asked, pursuant to FINRA Rule 1010 , to sign an initial or amended Form U4, or otherwise provide written (which may be electronic) acknowledgment …
… 2114. Recommendations to Customers in OTC Equity Securities … rulesguidancerulebooksfinrarules2114 … … … Preliminary Note: The requirements of this Rule are in addition to other existing member obligations under FINRA rules and the federal securities laws, including obligations to determine suitability of particular securities transactions with customers and to have a reasonable basis …
… 166046 … 2081. Prohibited Conditions Relating to Expungement of Customer Dispute … rulesguidancerulebooksfinrarules2081 … /rules-guidance/rulebooks/finra-rules/2081 … No member or associated person shall condition or seek to condition settlement of a dispute with a customer on, or to otherwise compensate the customer for, the customer's agreement to consent to, or not to oppose, the …
… 1122. Filing of Misleading Information as to Membership or Registration … rulesguidancerulebooksfinrarules1122 … … … No member or person associated with a member shall file with FINRA information with respect to membership or registration which is incomplete or inaccurate so as to be misleading, or which could in any way tend to mislead, or fail to correct such filing after notice …
… 1019. Application to the SEC for Review … rulesguidancerulebooksfinrarules1019 … /rules-guidance/rulebooks/finra-rules/1019 … A … aggrieved by final action of FINRA under the Rule 1000 Series may apply for review by the SEC pursuant to Section 19(d)(2) of the Exchange Act. The filing of an application for review shall not stay the … 1019. Notices - 92-2 Notices - 94-22 … rules … 1019. … Notices - 92-2 … Notices - 94-22 … 1019. Application to the SEC for Review …
… 0180. Application of Rules to Security-Based Swaps … rulesguidancerulebooksfinrarules0180 … /rules-guidance/rulebooks/finra-rules/0180 … (a) Except as otherwise provided in this Rule, the Rules shall apply to members’ activities and positions with respect to security-based swaps. (b) The following Rules shall not apply to members’ activities and positions with …
… 0150. Application of Rules to Exempted Securities Except Municipal Securities … rulesguidancerulebooksfinrarules0150 … … in Sections 3(a)(12) and 3(a)(29) of the Exchange Act, respectively. (b) The Rules are not intended to be, and shall not be construed as, rules concerning transactions in municipal securities. (c) Unless otherwise indicated within a particular Rule, the following rules are applicable to transactions in, and business activities relating to, exempted securities, except municipal securities, …
… IM-1013-3. Membership Application Process for Certain Firms Applying Due to Amended SEA Rule 15b9-1 … rulesguidancerulebooksfinrarulesim10133 … … Material sets forth a membership application process for those firms that must become FINRA members due to amendments to SEA Rule 15b9-1, as adopted by the SEC on August 23, 2023. This membership application process is available …
