… 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 …
… 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 …
… 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 …
… 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 …
… 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 …
… or any person occupying a similar status or performing similar functions; (3) any company, government or political subdivision or agency or instrumentality of a government controlled by or controlling the Applicant; … from registration under the FINRA By-Laws or FINRA r ules; or (7) any person who will be or is anticipated to be a person described in (1) through (6) above. (c) "Covered Pending Arbitration Claim" The term "Covered … of whether the claim was brought against additional persons or the Associated Person reasonably expects to be indemnified, share liability or otherwise lawfully avoid being held responsible for all or part of such …
… Requirements No member or person associated with a member shall initiate any outbound telephone call to: (1) Time of Day Restriction Any residence of a person before the hour of 8 a.m. or after 9 p.m. (local … party's location), unless (A) the member has an established business relationship with the person pursuant to paragraph (m)(12)(A), (B) the member has received that person's prior express invitation or permission, or … (2) Firm-Specific Do-Not-Call List Any person that previously has stated that he or she does not wish to receive an outbound telephone call made by or on behalf of the member; or (3) National Do-Not-Call List Any …
… private issuer, and, if a "restricted security" as defined in Securities Act Rule 144(a)(3), sold pursuant to Securities Act Rule 144A; (2) issued or guaranteed by an Agency as defined in paragraph (k) or a … except: (1) a transaction that is not reported as specified in Rule 6730 (e); and (2) a sale from an issuer to an underwriter(s) or initial purchaser(s) as part of an offering, except a sale of an Agency Pass-Through … Debt Security” means a debt security issued or guaranteed by the government of a foreign country, any political subdivision of a foreign country, or a supranational entity. (ll) “On-the-Run Nominal Coupon” means …
… contractual relationship with the distributing member or that member's affiliates that is reasonably likely to inform the content of its research reports; and (B) makes content determinations without any input from the … person who is primarily responsible for, and any associated person who reports directly or indirectly to a research analyst in connection with, the preparation of the substance of a research report, whether or … that are limited to the following: (i) discussions of broad-based indices; (ii) commentaries on economic, political or market conditions; (iii) technical analyses concerning the demand and supply for a sector, index …
… (ST) … (a) General Prohibitions (1) A member or a person associated with a member may not sell, or cause to be sold, a new issue to any account in which a restricted person has a beneficial interest, except as otherwise permitted herein. … behalf or for the benefit of the sovereign nation. (12) “Sovereign nation” means a sovereign nation or its political subdivisions, agencies or instrumentalities. (j) Information Required to be Filed The book-running …
