… 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 …
… 9527. Application to SEC for Review … rulesguidancerulebooksfinrarules9527 … /rules-guidance/rulebooks/finra-rules/9527 … The right to have any action taken pursuant to this Rule Series reviewed by the SEC is governed by Section 19 of the Exchange Act. The filing of an …
… 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 …
… 9370. Application to SEC for Review … rulesguidancerulebooksfinrarules9370 … /rules-guidance/rulebooks/finra-rules/9370 … (a) Appeal to SEC; Effect The right to have any action pursuant to the Rule 9200 Series or the Rule 9300 Series reviewed by the SEC is governed by …
… 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. …
… 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 …
… (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 …
… 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 …
