… activities with a government entity on behalf of any investment adviser that provides or is seeking to provide investment advisory services to such government entity shall maintain books and records that pertain to Rule 2030 , including a list or … or any of its covered associates to an official of a government entity, or direct or indirect payments to a political party of a state or political subdivision thereof, or to a political action committee. (b) Records …
… 9217. Violations Appropriate for Disposition Under Plan Pursuant to SEA Rule 19d-1(c)(2) … rulesguidancerulebooksfinrarules9217 … /rules-guidance/rulebooks/finra-rules/9217 … … Exchange LLC ("NYSE") ("Dual Member") (including any persons affiliated with such member) may be subject to a fine under Rule 9216 (b) with respect to any rule or By-Law provision listed in this Rule that applies to … Rule G-32 — Failure to timely submit reports. • MSRB Rule G-37 — Failure to timely submit reports for political contributions. Amended by SR-FINRA-2024-016 eff. Oct. 4, 2024. Amended by SR-FINRA-2020-031 eff. …
… for compensation with a government entity on behalf of an investment adviser that provides or is seeking to provide investment advisory services to such government entity within two years after a contribution to an official of the government entity is … Coordinating Contributions No covered member or covered associate may solicit or coordinate any person or political action committee to make any: (1) Contribution to an official of a government entity in respect of …
… Type (ST) … (a) Quid Pro Quo Allocations No member or person associated with a member may offer or threaten to withhold shares it allocates of a new issue as consideration or inducement for the receipt of compensation that is excessive in relation to the services provided by the member. (b) Spinning (1) No member or person associated with a member may allocate shares of a new issue to any account in which an executive officer or director of a public company or a covered non-public company, …
… 9555. Failure to Meet the Eligibility or Qualification Standards or Prerequisites for Access to Services … rulesguidancerulebooksfinrarules9555 … /rules-guidance/rulebooks/finra-rules/9555 … (a) Notice to Member or Person of Suspension, Cancellation, Bar, or Limitation or Prohibition on Access to Services (1) …
… 3240. Prohibition on Borrowing From or Lending to Customers … rulesguidancerulebooksfinrarules3240 … /rules-guidance/rulebooks/finra-rules/3240 … Customer … No person associated with a member in any registered capacity may borrow money from or lend money to any customer of such person, or initiate a broker-customer relationship with a person with whom the … relationship between the registered person and the customer maintained outside of, and formed prior to, the broker - customer relationship; or (E) the borrowing or lending arrangement is based on a bona fide …
… 2040. Payments to Unregistered Persons … rulesguidancerulebooksfinrarules2040 … /rules-guidance/rulebooks/finra-rules/2040 … … directly or indirectly, pay any compensation, fees, concessions, discounts, commissions or other allowances to: (1) any person that is not registered as a broker-dealer under Section 15(a) of the Exchange Act but, by reason of receipt of any such payments and the activities related thereto, is required to be so registered under applicable federal securities laws and SEA rules and regulations; or (2) any …
… IM-1014-1. Evidence of Ability to Satisfy Unpaid Arbitration Awards, Other Adjudicated Customer Awards, Unpaid Arbitration Settlements or, … Claims … rulesguidancerulebooksfinrarulesim10141 … /rules-guidance/rulebooks/finra-rules/im-1014-1 … To the extent that the Applicant or Associated Person is subject to unpaid arbitration awards, other adjudicated customer awards, unpaid arbitration settlements or, for new …
… 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 …
… 63 … 4551. Requirements for Alternative Trading Systems to Record and Transmit Order and Execution Information for Security Futures … … of this Rule, the term "order" includes a broker - dealer's proprietary quotes that are transmitted to an alternative trading system. (2) Alternative trading systems shall record each item of information required to be recorded under this Rule in such manner and form as is prescribed by FINRA from time to time. (3) …
