… 12513. Authority of Panel to Direct Appearances of Associated Person Witnesses and Production of Documents Without Subpoenas … … serve the motion or draft order on a non-party. (c) If a party receiving a motion and draft order objects to the scope or propriety of the order, that party shall, within 10 calendar days of service of the motion, … the Director and shall serve copies on all other parties. The party that requested the order may respond to the objections within 10 calendar days of receipt of the objections. After considering all objections, the …
… 12509. Motions to Compel Discovery … rulesguidancerulebooksfinrarules12509 … /rules-guidance/rulebooks/finra-rules/12509 … (a) A party may make a motion asking the panel to order another party to produce documents or information if the other party has: • Failed to comply with Rule 12506 or 12507 ; or …
… 12508. Objecting to Discovery; Waiver of Objection … rulesguidancerulebooksfinrarules12508 … /rules-guidance/rulebooks/finra-rules/12508 … (a) If a party objects to producing any document described in Document Production Lists 1 or 2 or any document or information … under Rule 12507 , it must specifically identify which document or requested information it is objecting to and why. Objections must be in writing, and must be served on all other parties . Parties must produce all …
… 12409. Jurisdiction of Panel and Authority to Interpret the Code … rulesguidancerulebooksfinrarules124090 … /rules-guidance/rulebooks/finra-rules/12409-0 … The panel has the authority to interpret and determine the applicability of all provisions under the Code. Such interpretations are final … … 12409. … Notices - 07-07 … Notices - 08-57 … Notices - 11-05 … 12409. Jurisdiction of Panel and Authority to Interpret the Code …
… 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 …
… 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 …
