… 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, …
… 13406. Appointment of Arbitrators; Discretion to Appoint Arbitrators Not on List … rulesguidancerulebooksfinrarules13406 … … chairperson list, who will serve as chairperson of the panel. (c) If the number of arbitrators available to serve from the combined list(s) is not sufficient to fill an initial panel, the Director will appoint one or more arbitrators of the required classification to …
… 13403. Generating and Sending Lists to the Parties … rulesguidancerulebooksfinrarules13403 … /rules-guidance/rulebooks/finra-rules/13403 … For … conflicts of interest not identified within the list selection algorithm. If an arbitrator is removed due to such conflicts, the list selection algorithm will generate a replacement arbitrator. (b) Lists Generated in … case. (4) In preparing the public list, the list selection algorithm will provide two chances for selection to public arbitrators that are not chair-qualified, and will provide one chance for selection to …
… 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 …
