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FINRA Rulebook Search Tool™ (FIRST™)

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Disclaimer: The FINRA Rulebook Search Tool™ (FIRST™) is for informational purposes only and does not provide regulatory or compliance advice. You should always review the relevant rule text and the related guidance to understand your regulatory obligations. Usage or reliance on this tool is not a defense to a failure to comply with the FINRA rules. Learn More

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Core Taxonomy (field_core_taxonomy)

Account Information & Management (ACC)
- Account Information
  - Account Number or Identification
  - Associated Person Status with Another Member
  - Customer's Age or Legal Age
  - Customer's Investment Profile
  - Customer's or Authorized Agent's Experience & Knowledge
  - Customer's Personally Identifiable Information
  - Customer's Residential Address
  - Customer's Trusted Contact Person
  - Employment Status (Name and Address of Employer, Self-Employed or Retired)
  - Essential Facts Regarding the Customer
  - Marital Status and Number of Dependents
- Account Instructions
- Account Opening, Servicing & Termination
- Account Transfers or Transmittals
- Beneficial Interest, Ownership or Control
- Customer Acknowledgement
- Customer Notification
- Customer Representation
- Legal Authority or Customer Authorization or Consent
Customer Type (CT)
- Institutional or Non-Retail
- Retail
Firm Type (FT)
- Capital Markets & Investment Banking
- Clearing & Carrying
- Diversified
- Retail
- Trading & Execution
Monetary Value (MV)
Numerical References (NR)
Obligations & Duties (OD)
- Clearance & Settlement
- Compensation
  - Commissions or Transaction-Based Compensation
  - Fees, Charges or Compensation for Services
  - Gifts & Non-Cash Compensation
  - Markups
  - Payments to Registered or Associated Persons
  - Payments to Unregistered Persons
  - Underwriting or Investment Banking Compensation
- Conflicts
- Customer Protection
  - Custody or Record Ownership of, or Access to, Funds or Securities
  - Customer Assets, Proprietary Assets or Transfer of Assets
- Customers, Accounts & Transactions
  - Borrowing or Lending
  - Communications with the Public
  - Confirmations & Customer Account Statements
  - Day-Trading
  - Exercise of Discretion or Discretionary Accounts
  - Financial Exploitation and Temporary Holds
  - Firm Contact Information
  - Holding of Customer Mail
  - Improper Use of Customers' Securities or Funds
  - Investment Analysis Tools
  - Know Your Customer (KYC) or Anti-Money Laundering (AML)
  - Net Transactions with Customers
  - Suitability, Solicitation, Recommendation or Advice
- Disclosure
- Ethical & Professional Conduct
- Financial Responsibility
  - Annual Report
  - FOCUS Report
  - Inventory Schedule
  - Margin Requirements
  - Net Capital Requirements
  - Off-Balance Sheet Schedule
  - Supplemental Statement of Income (SSOI)
- Offerings & Distributions
  - Compliance with SEC Regulation M
  - Fairness Opinion
  - Member Private Offerings
  - Offerings with Conflicts
  - Sales, Solicitations, Purchases, Allocations or Distributions
  - Structuring of or Participating in Offering
  - Underwriting & Related Agreements
- Operational Continuity
  - Business Continuity Plan (BCP)
- Orders, Quoting, Trading & Execution
  - Best Execution or Interpositioning
  - Order Acceptance, Handling & Execution
  - Trading Ahead
- Recordkeeping, Documentation & Delivery of Information
- Research
- Supervision, Compliance & Inspections
  - Designation, Delegation, Assignment or Authorization
  - Heightened or Additional Supervision
  - Private Securities Transactions
  - Inspections, Internal Review, Surveillance, Monitoring, Testing or Follow-Up
  - Obligation to Review, Evaluate, Assess or Approve
  - Personal Trading or Outside Securities Accounts
  - Preventative or Remedial Measures
  - Outside Business Activities
  - Qualification & Experience
  - Reasonable Investigation, Diligence, Analysis, Basis or Efforts
  - Written Notice or Attestation to, or Authorization or Consent from, Member or Associated Person
Regulatory Process (RP)
- Appeals
  - SEC Appeals
- Enforcement
  - Expedited Proceedings
- Examinations, Investigations & Inquiries
  - FINRA, SEC or Other Regulatory Authority
  - Inspection & Copying of Books & Records
  - Market Surveillance
  - Memorandum of Understanding (MOU) or Information Sharing Agreement
- Timing or Temporal Provision
- Exceptions, Exemptions or Waivers
- Expungement Requests and Processes
- Qualification, Registration & Continuing Education
  - Branch Office Registration
  - Broker-Dealer or Associated Person Registration Requirements
  - Continuing Education (Regulatory Element, Firm Element & Maintaining Qualifications Program (MQP))
  - Fingerprinting & Other Background Checks
  - Initiation, Denial or Termination of Membership, Association or Registration
  - Minimum Number of Principals
  - Permissive or Impermissive Registrations
  - Registration Categories, Exams, Waivers, Exemptions, Reregistration & Lapse of Registration
  - Securities Industry Essentials (SIE)
  - Statutory Disqualification
- Regulatory Approval, Authorization or No Objection
  - Carrying Agreements & Responsibilities
  - Portfolio Margin Methodology
  - Subordination Agreements
  - Underwriting Terms & Arrangements
- Regulatory Determination
  - Additional Firm Element Training
  - Alternative Qualification
  - Disputed BrokerCheck Information
  - Safeguarding & Custody of Assets
  - Violation of Examination Rules of Conduct
- Regulatory Extension
- Regulatory Fines, Fees & Other Charges
- Regulatory Reporting
  - Insider Trading or Market Manipulation
  - Internal & External Regulatory or Criminal Events, Customer Complaints, Statistical Information
  - Options Positions
  - Uniform Registration Forms
- Regulatory Submission, Notification or Review
  - Advertising Material
  - Criminal, Civil or Dispute Resolution Matters
  - Designated Contact Person or Custodian
  - Financial & Operational Requirements
  - Investigations or Other Regulatory Matters
  - Options Accounts, Activities & Transactions
  - Portfolio Margin Methodology, Margin Requirements & Margin Deficiency
  - Private Placements or Public Offerings
  - Registration Requirements (Registered Options Principal, Military Status or MQP Status)
  - Retail Communications
  - Underwriting Distribution Participants
- Sanctions
  - Revocation, Bar, Cancellation, Expulsion or Suspension
Security Type (ST)
- Debt
- Equity

Supplemental Search Terms (field_supp_terms)

Defined Terms within the Rule or Rule Series (DT)
- Account
- Account Activity
- Accredited Investor
- Actively Engaged in the Management of the Member's Investment Banking or Securities Business
- Actively-Traded
- Actively-Traded Securities
- Adjustable Rate Mortgage (ARM)
- Advice Cancel (DT)
- Affiliate
- Agency
- Aggregate Current Index Value
- Aggregate Discount Amount
- Aggregate Exercise Price
- Algorithmic Trading Strategy
- American-Style Option
- Annual Report
- Annualized Discount (DT)
- Appropriate Differential
- Approved Market Maker
- Approved Options Specialist
- Approved Specialist
- Associated Person
- Bank
- Basket
- Beneficial Interest
- Beneficial Ownership
- Bona Fide Public Market
- Box Spread
- Branch Office
- Broad Index Stock Group
- BrokerCheck Associated Person
- BrokerCheck Firm
- Business Combination Transactions
- Business Day (DT)
- Business Development Company
- Buy Side
- Call
- Cash Equivalents
- Class of Options
- Clearing Member
- Closing Sale Transaction
- Collateralized Mortgage Obligation (CMO)
- Collective Investment Account
- Commodity Pool Operator
- Common Control
- Common Equity
- Communications
- Company
- Compendium Report
- Compensation
- Compensatory Benefit Plan
- Conflict of Interest
- Contrary Exercise Advice (DT)
- Control
- Controls
- Conventional Index Option
- Conventional Option
- Conversion Offering
- Correspondence
- Counterparty
- Covered
- Covered Account
- Covered Agency Transaction
- Covered Functions
- Covered Investment Fund
- Covered Investment Fund Research Report
- Covered Non-Public Company
- Covered Persons
- CRD Exchange
- Currency Index
- Currency Index Warrant
- Currency Warrant
- Current Cash Market Price
- Current Market Price
- Current Market Value
- Custodian
- Customer
- Customer Account
- Customer Complaint (DT)
- Day Trading
- Day-Trading Buying Power
- Delta Neutral
- Derivative Instrument
- Designated Account
- Designated Offshore Securities Market
- Direct Participation Program
- Direct Participation Program Security
- Disclosure Document(s)
- Disqualification
- DVP/RVP Account
- Effective Date
- Eligible Contract Participant
- Eligible OTC Derivative Instrument
- Eligible Participants
- Eligible Party
- Emerging Growth Company
- Employee Benefit Plan
- Employer Member
- Encrypted
- Entity
- Equity
- Equity Security
- Equity-Linked Securities
- Escrow Agreement (DT)
- Escrow Deposit
- Essential Facts
- European-Style Option
- Ex-by-Ex
- Excess Securities
- Executing Member
- Exempt Account
- Exempted Borrower
- Exempted Person
- Exempted Securities
- Exempted Security
- Exercise Price (DT)
- Exercise Settlement Amount (DT)
- Experienced Issuer
- Expiration Date
- Expiration Month
- Expiring Options (DT)
- Fair Price
- Family Clients
- Family Investment Vehicle
- Family Members
- Final Regulatory Action
- Financial and Operational Assessment (DT)
- Financial Institution Other than a Member
- Financial Related
- Financial Services Industry Affiliate of a Member
- Finder
- FLEX Equity Option
- Flipped
- Foreign Research Analyst
- Found
- General Securities Member
- Globally Branded Research Report
- Government-Sponsored Enterprise (GSE)
- Gross Revenue
- Hedge Strategy
- Highly Rated Foreign Sovereign Debt Securities
- Historic Complaints
- Immediate Family
- Immediate Family Member
- In or at the Money
- In the Money
- In-The-Money Amount
- Independent Financial Adviser
- Independent Third-Party Research Report
- Index Currency Group
- Index Group Value
- Index Multiplier
- Industry Stock Index Group
- Institutional Account
- Institutional Communication
- Institutional Investor
- Insurance Company
- Interest Rate Measure
- Investment Analysis Tool
- Investment Banking Department
- Investment Banking Services
- Investment Banking Services Transactions
- Investment Club
- Investment Company
- Investment Grade Debt Securities
- Investment Grade Rated
- Investment Strategy Involving a Security or Securities
- Investor Research
- Is Controlled By
- Is Under Common Control
- Issuer
- Issuer Report
- Knowledgeable Employee
- Limited Business Broker-Dealer
- Listed
- Listed Non-Equity Securities
- Listed Option
- Listed Securities
- Long Box Spread
- Long Position
- Maintain
- Major Foreign Sovereign Debt
- Margin
- Margin Equity Security
- Margin Securities
- Market
- Material Support
- Member of Research Analyst's Household
- Mission Critical System (DT)
- Mixed-Team Research Report
- Mortgage Related Securities
- Municipal Fund Securities
- Net Delta
- Net Investment
- Net Offering Proceeds
- New Issue
- Nominal Principal Amount
- Non-Cash Compensation
- Non-Customer Account
- Non-Equity Securities
- Nonpurpose Credit
- Numerical Index Value
- OCC Cleared OTC Option
- OCC Model
- ODD
- Of Such Member or Person
- Offering Proceeds
- Offeror
- Office of Supervisory Jurisdiction (OSJ)
- On-Site Principal
- Opening Writing Transaction
- Option
- Option Transaction
- Options Contract
- Options Contract Equivalent of the Net Delta
- Options Trading
- Options-Related Complaint
- OTC
- Other Financial Institution
- Other Marginable Non-Equity Securities
- Out-Of-The-Money Amount
- Outstanding
- Overallotment Option
- Overlying Option
- Participate, Participation, or Participating
- Participating Member
- Pattern Day Trader
- Penalty Bid
- Permitted Offset Position
- Permitted Pricing Model
- Person
- Personnel
- Portable Media Device
- Portfolio
- Preferred Equity
- Premium (DT)
- Preserve
- Principal
- Principal Regulator
- Private Fund
- Private Placement
- Private Securities Transaction
- Product Group
- Prominent Disclosure
- Public Appearance
- Public Company
- Public Offering
- Purpose Credit
- Put
- Qualified Independent Underwriter
- Qualified Institutional Buyer (QIB)
- Qualified Plan
- Qualified Purchaser
- Qualified Security
- Quotation
- Ready Market
- Real Estate Investment Trust
- Real Estate Investment Trust Security
- Registered Clearing Agency
- Registration Forms
- Registration Statement (DT)
- Regulatory Body
- Related Instrument
- Reporting Authority
- Reporting Entity
- Representative
- Reprint
- Required Filing Date
- Research Analyst
- Research Analyst Account
- Research Department
- Research Report
- Restricted Person
- Retail Communication
- Retail Investor
- Retiring Registered Representative
- Review Period
- Right of Pre-Emption
- Rules of the Options Clearing Corporation
- Sales and Trading Personnel
- Savings Association
- Security (DT)
- Security Class
- Security Future
- Security Futures Contract
- Security Futures Dealer
- Security Futures Product
- Sell Side
- Selling Compensation
- Selling Syndicate
- Separate Account
- Series of Options
- Short Box Spread
- Sovereign Entity
- Sovereign Nation
- Special Written Statement
- Specific Deposit
- Specified Pool Transaction
- Spot Price
- Spread
- Standardized Equity Option
- Standardized Index Option
- Standardized Options
- Statutory Disqualification
- Stock Index Group
- Stock Index Warrant
- Subject Company
- Subordinated Debt
- Technical Research Report
- Tentative Net Capital
- The Options Clearing Corporation
- Theoretical Gains and Losses
- Third-Party Research Report
- Time and Tick
- To Be Announced (TBA)
- Total Equity Securities
- Trading Research
- Type of Option
- Unaffiliated Charitable Organization
- Uncovered
- Underlying Basket
- Underlying Component
- Underlying Component Value
- Underlying Index
- Underlying Instrument
- Underlying Security
- Underlying Stock Basket
- Underwriting Compensation
- Unit
- Unit of Underlying Currency
- Unlisted Derivative
- Valuation Points
- Variable Contracts
- Variation Settlement
- Warrants
Related Laws, Rules & Regulations (RL)
- Advisers Act & Rules Thereunder
  - Rule 202(a)(11)
  - Rule 206(4)-3(b)
  - Section 202(a)(29)
  - Section 203
- Banking Laws, Rules & Regulations
  - Bank Holding Company Act
  - Bank Secrecy Act (BSA) and Implementing Regulations
  - National Bank Act
  - Regulation T
- Commodity Exchange Act
  - Rule 41
  - Section 1a(11)
  - Section 1a(5)
  - Section 4f(a)(1)
  - Section 5c(c)
- Exchange Act & Rules Thereunder
  - General Reference to Exchange Act & Rules Thereunder
  - General Reference to Securities Investor Protection Act and Rules Thereunder
  - Regulation 14D
  - Regulation M
  - Regulation M (Rule 101)
  - Rule 11d1-2
  - Rule 12g3-2
  - Rule 13e-3
  - Rule 13e-4
  - Rule 14d-100 (Schedule TO)
  - Rule 15c2-11
  - Rule 15c3-1
  - Rule 15c3-3
  - Rule 15c3-4
  - Rule 15I-1 (Regulation Best Interest)
  - Rule 17a-2
  - Rule 17a-3
  - Rule 17a-4
  - Rule 17d-1
  - Rule 3a12-7
  - Rule 3a4-1
  - Rule 3b-13(a)
  - Rule 9b-1
  - SEC Customer Margin Requirements for Security Futures (Rules 400-406)
  - Section 11(d)
  - Section 12
  - Section 12(g)(2)(G)
  - Section 13
  - Section 13(a)
  - Section 13(d)
  - Section 15
  - Section 15(a)
  - Section 15(b)
  - Section 15(d)
  - Section 15A(a)
  - Section 17(a)
  - Section 17A(b)(2)
  - Section 19
  - Section 19(b)(2)
  - Section 3(a)(11)
  - Section 3(a)(12)
  - Section 3(a)(23)
  - Section 3(a)(29)
  - Section 3(a)(39)
  - Section 3(a)(41)
  - Section 3(a)(55)
  - Section 3(a)(56)
  - Section 3(a)(6)
  - Section 3(a)(65)
  - Section 3(a)(80)
  - Section 3(a)(9)
  - Section 6
  - Section 7
- Federal Deposit Insurance Act & Rules Thereunder
  - Section 3(b) (FDIC)
- FINRA By-Laws
  - Article I, Section (rr)
  - Article III, Section 4
  - Article VI
  - Article XV, Section 2
  - General Reference to FINRA By-Laws
  - Schedule A, Section 4(g)(1)
- FINRA Rules
  - General Reference to FINRA Rules
  - Rule 0140
  - Rule 11860
  - Rule 1210
  - Rule 1220
  - Rule 1230
  - Rule 1240
  - Rule 2010
  - Rule 2070
  - Rule 2090
  - Rule 2121
  - Rule 2165
  - Rule 2210
  - Rule 2214
  - Rule 2241
  - Rule 2242
  - Rule 2268
  - Rule 2310
  - Rule 2320
  - Rule 2341
  - Rule 2351
  - Rule 2360
  - Rule 2370
  - Rule 3110
  - Rule 3120
  - Rule 3130
  - Rule 3170
  - Rule 3210
  - Rule 3260
  - Rule 3280
  - Rule 3310
  - Rule 4110
  - Rule 4120
  - Rule 4210
  - Rule 4510 Series
  - Rule 4511
  - Rule 4512
  - Rule 4517
  - Rule 5110
  - Rule 5121
  - Rule 5122
  - Rule 5130
  - Rule 5340
  - Rule 6710
  - Rule 8310
  - Rule 9134
  - Rule 9551
  - Rule 9559
  - Rule 9600 Series
  - Uniform Practice Code (UPC)
- General Reference to Employee Retirement Income Security Act (ERISA)
- General Reference to Federal Law
- General Reference to Federal Securities Laws
- General Reference to Foreign Law
- General Reference to Public Utility Holding Company Act
- General Reference to Rules of Other SROs
- General Reference to Securities, Insurance, Commodities, Financial or Investment Laws, Rules & Regulations
- General Reference to State, Municipal or Blue Sky Laws
- Internal Revenue Code
  - Section 401
  - Section 401(a)
  - Section 403(a)
  - Section 403(b)
  - Section 408
  - Section 414(e)
  - Section 457
  - Section 501(c)(3)
  - Section 529
  - Section 856
  - Subchapter S
- Investment Company Act & Rules Thereunder
  - General Reference to Investment Company Act & Rules Thereunder
  - Rule 23c-3(b)
  - Rule 24b-3
  - Rule 2a-7
  - Rule 34b-1
  - Rule 3c-5
  - Section 2(a)(17)
  - Section 2(a)(37)
  - Section 2(a)(48)
  - Section 2(a)(51)
  - Section 24(b)
  - Section 3
  - Section 4(2)
  - Section 5(a)(1)
  - Section 5(a)(2)
- MSRB Rules
  - General Reference to MSRB Rules
  - Rule D-12
- NYSE Rules
  - Section 202
- Options Clearing Corporation (RL)
  - Article VI, Section 11A of the By-Laws
  - General Reference to Rules of the Options Clearing Corporation
  - Rule 610
  - Rule 805
- SEC General Rules
  - General Reference to SEC Rules
  - SEC Regulation S-K
- Securities Act & Rules Thereunder
  - General Reference to Securities Act & Rules Thereunder
  - Regulation C (Rule 405)
  - Regulation C (Rule 415)
  - Regulation C (Rule 433)
  - Regulation C (Rule 482)
  - Regulation D (Rule 504)
  - Regulation D (Rule 505)
  - Regulation D (Rule 506)
  - Regulation S
  - Rule 134
  - Rule 139
  - Rule 139b
  - Rule 144
  - Rule 144A
  - Rule 145
  - Rule 146
  - Rule 165(f)
  - Rule 238
  - Rule 252
  - Rule 405
  - Rule 501(a)(1)
  - Rule 501(a)(2)
  - Rule 501(a)(3)
  - Rule 501(a)(7)
  - Rule 701
  - Section 10
  - Section 11 (RL)
  - Section 17(b)
  - Section 2(a)(1)
  - Section 2(a)(10)
  - Section 2(a)(13)
  - Section 2(a)(8)
  - Section 3(a)(2)
  - Section 3(a)(3)
  - Section 3(a)(4)
  - Section 3(a)(8)
  - Section 3(b)
  - Section 4(a)(1)
  - Section 4(a)(2)
  - Section 4(a)(5)
  - Section 5
  - Section 5(c)
- Title 11 of the United States Code
  - Section 11
Terminology (TR)
- Communication & Media
  - Address or Last Known Address
  - Articles
  - Bank Signage
  - Blind Advertisements
  - Business Cards
  - By Appointment Only
  - Central Log, Index or File
  - Click-As-You-Go Functionality
  - Commentary
  - Commissioned Work
  - Compilation
  - Composite Information
  - Copy or Copies
  - Cross-Reference
  - Directory
  - Draft or Story Board
  - Electronic or Other Public Media
  - Email or Other Electronic Communications
  - Excerpts
  - Facsimile Number
  - File or Folder
  - Films or Motion Pictures
  - Front Page
  - Handouts
  - Held Out to the Public
  - Hotline
  - Hyperlinks
  - ID & Password
  - In-Person
  - Intended or Target Audience
  - Interactive Materials or Tools
  - Interview
  - Intranet
  - Label or Labelling
  - Legends & Footnotes
  - Live or On-Demand Webcast
  - Magazines or Other Periodicals
  - Mailing or Mailings
  - Major News Service
  - Marked Pages
  - Meeting
  - Members of the Media
  - Newspapers
  - Notation
  - Opinion
  - Posted or Posting
  - Press Releases or Announcements
  - Print Advertisement or Media
  - Professional Profile
  - Promote, Endorse or Sponsor
  - Publication, Use, Distributed or Distribution
  - Publisher
  - Radio
  - Reports
  - Reprints
  - Reproduction
  - Scripts
  - Section
  - Securities Act Rule 482 Advertisements
  - Seminar or Forum
  - Signs or Billboards
  - Slides
  - Speaking Engagement
  - Stationery
  - Statistical Table, Summary, Chart, Graph or Other Illustration
  - Summary Information
  - Table of Contents
  - Tabulation
  - Telephone Directory or Listing
  - Telephone Number or Toll-Free Telephone Number
  - Telephone or Audio Recording or Taping
  - Television
  - Templates
  - Testimonials
  - Transcribe
  - Unscripted
  - Video Conference or Conference Call
  - Videos
  - Web-based or Online
  - Websites or Webpages
- Compensation, Costs, Charges & Expenses
  - Accrued or Earned Compensation
  - Advisory or Consulting Compensation
  - Amount of Compensation
  - Attorney's or Counsel's Fees
  - Bonus
  - Claim for Damages or Compensatory Claims
  - Commission or Other Compensation Sharing
  - Compensation for Services or Other Remuneration
  - Concessions, Discounts or Other Allowances
  - Continuing or Trailing Commission
  - Contributions
  - Dealer Manager Fees
  - Dissolution Proceeds
  - Donate or Donation
  - Fee or Proceeds Table
  - Fee Waiver
  - Gifts & Prizes
  - Gratuities
  - Hourly Wage or Salary
  - Insurance Premiums
  - Legal Costs
  - Management- or Performance-Based Compensation
  - Mark-Down
  - Mark-Up
  - Meals & Lodging
  - Merchandise
  - Offering Proceeds (TR)
  - Offering, Distribution & Organization Expenses
  - Payment for Order Flow
  - Premium
  - Profit Participation Rights
  - Reclaim
  - Recouping Paid Compensation
  - Referral or Finder's Fee
  - Reimbursement or Refund
  - Sales Charge (Asset-Based, Deferred, Initial or Front-End)
  - Sporting Event or Other Entertainment
  - Stocks or Stock Acquisition Rights
  - Total Annual Fund Operating Expense Ratio
  - Transaction-Based or -Related Compensation
  - Travel Expenses
- Customers, Clients, Investors & Agents
  - Associated or Registered Persons who are Customers
  - Authorized Agents
  - Beneficial or Equity Owner
  - Buying Customer's Agent
  - Customer of Another Broker-Dealer
  - Existing Customer, Client or Investor
  - Foreign Persons
  - Former Customer or Client
  - Legal Entity Customers or Clients
  - Non-Customer
  - Policyholders
  - Prospective Customer, Client or Investor
  - Qualified Institutional Buyer (QIB) (TR)
  - Qualified Purchaser (TR)
  - Registered Owner, Record Holder, Security Holder or Shareholder
  - Selling Customer's Agent
  - Senior
  - Vulnerable
- Employment
  - Active or Inactive Status (TR)
  - Change in Employment
  - Clerical or Ministerial Functions
  - Continuous Work or Continued Employment
  - Employee
  - Employer
  - Employer's Consent
  - Employment with Affiliated Entities
  - Hiring or Recruitment of Personnel
  - Independent Contractor
  - Job Functions, Duties & Responsibilities
  - Job Performance or Evaluation
  - Job Title
  - Key Employees or Highest Compensated Employees
  - Occupation
  - Productivity or Quality of Work
  - Retirement
  - Staffing
  - Suspension, Termination or Resignation
  - Withholding of Compensation or Monetary Fine
  - Working in Ancillary Fields
- Financial, Economic or Money
  - Accrue or Accrued
  - Advance
  - Appraised Value
  - Arranging or Extending Credit
  - Assets or Total Assets
  - Audited
  - Balance
  - Commercial Terms
  - Creditworthiness
  - Debit Items
  - Draw, Drawer or Drawee
  - Economic Benefit or Gain
  - Economic or Political Conditions or Events
  - Estimate or Estimated Value
  - Excluding Value of Primary or Family Residence
  - Financial Analysis
  - Financial Data
  - Financial or Material Support
  - Financial Statement or Other Material Business Information
  - Financial, Economic or Ownership Interest
  - Financing
  - Fiscal Year
  - Gross
  - Gross Proceeds
  - Income or Annual Income
  - Interest Rates
  - Intrinsic Value
  - Liabilities
  - Liquid Net Worth
  - Loan or Credit
  - Losses
  - Need and Purpose of Loan
  - Net
  - Net Proceeds
  - Net Worth
  - Operating History
  - Profits or Profitable
  - Realized or Unrealized
  - Recurring & Non-Recurring Expenses
  - Revenue or Total Revenue
  - Statement of Income
  - Statement of Profit & Loss
  - Supply & Demand
  - Value or Valuation Method
  - Wires, Negotiable Instruments or Checks
- Forms & Applications
  - Custodian Consent Form
  - Form 1A
  - Form 8-T
  - Form 990
  - Form ADV
  - Form BD
  - Form BDW
  - Form BR
  - Form F-10
  - Form F-3
  - Form F-6
  - Form S-3
  - Form U4 (TR)
  - Form U5
  - Form U6
  - Form X-17A-5 (FOCUS Report)
  - Membership Continuance Application (MC-400 Application)
  - Transfer Instruction Form (TIF)
- Industry Participants
  - Accountants or Independent Public Accountants
  - Advisory or Consulting Services or Outside Consultants
  - Applicant for FINRA Membership
  - Attorneys
  - Bank (TR)
  - Broker (Acting as Agent)
  - Broker's Broker
  - Business Development Company (BDC)
  - Carrying or Clearing Broker-Dealer
  - Charitable Institution
  - Church or Church Plan
  - Clearing Agency
  - Closed-End Fund or Investment Company
  - Commercial Banking Services
  - Commodity Pool
  - Common Trust Fund
  - Consolidated Supervised Holding Company Group
  - Counterparty or Counterparties
  - Credit Union
  - Creditor
  - Dealer (Acting as Principal)
  - Debtor
  - Direct Participation Program (DPP)
  - Exchange Member
  - Exchange-Traded Fund (ETF)
  - Executing Broker
  - Family Office
  - Finanacial Consultants
  - Financial Advisor or Adviser
  - Financial Holding Company
  - Financial Services
  - Finder (TR)
  - FINRA Member
  - Floor Trade or Broker
  - Foreign Broker-Dealer or Other Foreign Participant
  - Former Exchange Member
  - Former FINRA Member
  - Futures Commission Merchant (FCM)
  - Government Securities Broker-Dealer
  - Guarantor
  - Insurance Company (TR)
  - Introducing Broker-Dealer
  - Investment Adviser or Advisor
  - Investment Company or Registered Investment Company
  - Issuer (TR)
  - Issuer Adviser
  - Lending Company or Institution
  - Market Maker
  - Member of the Options Clearing Corporation
  - Money Manager or Portfolio Manager
  - Municipal Securities Broker-Dealer
  - Mutual Fund or Open-End Investment Company
  - Non-Exchange Member
  - Non-Member or Non-Member Broker-Dealer
  - Option Purchaser or Holder
  - Option Seller, Writer or Issuer
  - OTC Derivatives Dealer
  - Placement Agent
  - Pooled or Collective Investment Vehicle
  - Private Investment Company or Hedge Fund
  - Professional Trader
  - Public Reporting Company
  - Real Estate Investment Trust (REIT)
  - Records Management Services
  - Retirement or Benefit Plan Administrator
  - Savings & Loan
  - Self-Clearing Broker-Dealer
  - Selling Shareholders
  - Selling Syndicate or Selling Group
  - Servicing Intermediary or Agent
  - Single-Person Member
  - Special Purpose Acquisition Company (SPAC)
  - Specialist
  - Third-Party or Professional Service Provider or Outside Party
  - Trust Company
  - Underwriter, Managing Underwriter or Lead Underwriter
  - Underwriting Co-Manager
  - Underwriting Syndicate
  - Unit Investment Trust (UIT)
  - Unregistered Broker-Dealer
  - Wholesaling Services
- Investment Plans or Programs
  - Defined Benefit Plans (Pensions)
  - Defined Contribution Plans (eg, Profit-Sharing, 401(k), 403(b), 457 and Stock Ownership)
  - Individual Retirement Arrangements (IRAs) (SEP, SARSEP, SIMPLE IRA)
  - Monthly Investment Plans
  - Qualified Plans
  - Qualified Tuition Programs
  - Traditional or Roth IRA
- Investment Products
  - American Depositary Receipt (ADR) Securities
  - Annuity
  - Asset-Backed or Financing Instrument-Backed Securities
  - Collateralized Mortgage Obligations (CMOs)
  - Commodities
  - Common Stocks
  - Condominium Securities
  - Convertible or Exchangeable Securities
  - Corporate Bonds
  - Currency Index Warrants
  - Currency Option
  - Currency or Foreign Currency
  - Currency Warrants
  - Debt Securities
  - Derivative Securities
  - Direct Participation Program (DPP) Securities
  - Equity Securities
  - Equity-Based or Equity Index-Based Securities
  - Exempted Securities (TR)
  - Financial Select Sector SPDR Fund (XLF)
  - Fixed Insurance Products
  - Foreign Securities
  - Forward Contract
  - Government Securities & US Treasuries
  - Investment Company Securities
  - IPO Stock
  - iShares 20+ Year Treasury Bond Fund ETF (TLT)
  - iShares China Large-Cap ETF (FXI)
  - iShares iBoxx $ Investment Grade Corporate Bond ETF (LQD)
  - iShares iBoxx High Yield Corporate Bond Fund (HYG)
  - iShares MSCI Brazil Capped ETF (EWZ)
  - iShares MSCI EAFE ETF (EFA)
  - iShares MSCI Japan ETF (EWJ)
  - Modified Guaranteed Annuity Contracts and Life Insurance Policies
  - Money Market Mutual Funds
  - Municipal Fund Securities (TR)
  - Municipal Securities
  - Non-Convertible or Non-Exchangeable Securities
  - Non-Redeemable Securities
  - Options
  - Pass-Through Securities
  - Preferred Stocks
  - Private Placement Securities
  - Product Mix
  - Real Estate Investment Trust (REIT) Securities
  - Redeemable Securities
  - Restricted Stock or Securities
  - Rights
  - Security Futures
  - Security-Based Swaps
  - Standardized Index Option (TR)
  - Stock Index Warrants
  - The DIAMONDS Trust (DIA)
  - The iShares MSCI Emerging Markets ETF (EEM)
  - The iShares Russell 2000 ETF (IWM)
  - The PowerShares QQQ Trust (QQQ)
  - The Standard and Poor's Depositary Receipts Trust (SPY)
  - US Securities
  - VanEck Vectors Gold Miners ETF (GDX)
  - Variable Contracts or Insurance Products
  - Warrants (TR)
  - Zero Coupon Bonds
- Investments, Strategies & Models
  - Actual Price or Price Paid
  - Annualized Discount
  - Asset Allocation Models
  - Assets Under Management (AUM)
  - Assigned, Pledged or Hypothecated Securities
  - Assumptions
  - Back-to-Back Options
  - Basic Investment Concepts
  - Basket of Securities
  - Box Spreads
  - Broad-Based Index or Indices
  - Capital Contribution, Investment or Commitment
  - Claim on Assets
  - Class or Series of Securities
  - Collars or Reverse Collars
  - Component Security or Securities
  - Compounded Return
  - Conversions or Reverse Conversions
  - Costs & Expenses
  - Coupon Rate
  - Covered or Uncovered Contracts
  - Credit Balance
  - Credit Evaluation
  - Credit Quality
  - Credit Rating or Rating Categories
  - Debit Balance
  - Default
  - Delta Hedging
  - Diverse or Complex Transactions
  - Diversification
  - Dividends or Other Distributions
  - Dollar Cost Averaging (DCA)
  - Effects of Inflation
  - Estimates of Future Retirement Income Needs
  - Exercise or Assignment
  - Exercise or Strike Price
  - Expiration
  - Expiring Options
  - Fair Price (TR)
  - Financial Situation & Needs
  - Fluctuation of Principal or Return
  - FTSE All-World Index Series
  - General Investment or Economic Principles, Information or News
  - Guarantee or Collateral
  - Guarantee or Insurance Features
  - Hedging or Hedged
  - Historic Market Returns Based on Asset Classes
  - Holdings
  - Hypothetical Illustrations
  - In-The-Money
  - Index or Indices of Securities
  - Individual or Multiple Companies
  - Industry or Industry Sector
  - Interest & Principal Payments
  - Investment Grade
  - Investment Objectives of Product
  - Investment Objectives, Experience & Time Horizon
  - Junior Debt
  - Last Sale Price
  - Liquidation of Positions or Holdings
  - Liquidity Needs
  - Liquidity of Product
  - Long or Short Position
  - Long- or Short-Term Investment
  - Market Cap or Market Capitalization
  - Market Price or Value
  - Mathematical Principles
  - Maturity Date
  - Mortgage
  - Narrow-Based Index or Indices
  - Net Asset Value (NAV)
  - Net Positions
  - Non-Voting Stock
  - Offset Positions
  - Open Positions
  - Outstanding Debt or Obligation
  - Outstanding Stock or Positions
  - Passive Investments
  - Past Performance
  - Per-Share Basis
  - Performance Rankings or Comparisons
  - Portfolio of Securities or Portfolio Composition
  - Price of Underlying Security
  - Price or Market Volatility
  - Price Target
  - Principal Amount
  - Projected or Future Performance
  - Purchase Price
  - Put, Call or Straddle
  - Rated Debt
  - Rates of Return
  - Reasonable-Basis, Customer-Specific or Quantitative Suitability
  - Rebalancing
  - Redeem or Redemption
  - Relative Liquidity
  - Return of Capital or Principal
  - Right of Payment
  - Risk & Return or Reward
  - Risk Reduction or Offsetting of Risk
  - Risk Tolerance & Financial Ability
  - Russell 3000 Index
  - Safety or Risk of Product
  - Same or Similar Security
  - Same Series & Equal Rights & Obligations
  - Secured or Unsecured
  - Share or Stock Price
  - Shareholder or Stockholder Equity
  - Short Sales
  - Significant News Events
  - Single Security or Stock
  - Speculative or Speculation
  - Splits or Reverse Splits
  - Spreads
  - Standardized Performance Information or Data
  - Stock Price Movement
  - Subordinated Debt (TR)
  - Technical Analysis
  - Term of Issue
  - Time to Maturity
  - Undue Concentration
  - Voting Stock
  - Weighting
  - Writing Options
  - Yield to Maturity
  - Yields
- Judicial or Regulatory Actions, Dispute Resolution
  - Adjudication or Judgment
  - Adjudicator
  - Admonishment
  - Adverse Final Action
  - Appeal
  - Arbitration Forum
  - Award
  - Bankruptcy or Tax Court
  - Bribery
  - Burglary
  - Cautionary Action
  - Cease & Desist
  - Civil Complaint or Action
  - Civil Litigation
  - Collateral Attack
  - Common Regulatory Jurisdiction
  - Consent Decree
  - Conspiracy
  - Convicted or Conviction
  - Counterfeiting
  - Court of Competent Jurisdiction
  - Court Reporter
  - Criminal Complaint
  - Customer Arbitration
  - Customer Complaint
  - Defendant
  - Deficiency Letter
  - Dismissed or Dismissal
  - Disposed of or Disposition
  - Dispute, Claim or Allegation
  - Documentary Evidence
  - Domestic Court
  - Embezzlement
  - Examination Report
  - Extortion
  - False Oath
  - False Report
  - Felony
  - FINRA's Jurisdiction or Retention of Jurisdiction
  - Foreign Court
  - Forgery
  - Formal Finding or Findings of Violative Conduct
  - Fraudulent Concealment
  - Guilty or No Contest Plea
  - Indicted or Indictment
  - Individual or Separate Liability
  - Industry Arbitration
  - Informal Agreement
  - Informal Resolution
  - Injunction or Enjoined
  - Joint & Several Liability
  - Larceny
  - Letter of Acceptance, Waiver and Consent (AWC)
  - Memoranda of Understanding
  - Military Court
  - Minor Rule Violation (MRV)
  - Misappropriation or Fraudulent Conversion
  - Misdemeanor
  - Neither Admitting Nor Denying
  - New or Additional Evidence
  - Not Appealable
  - Notary Public
  - Oath, Affirmation or Affidavit
  - Offenses
  - Official Transcript
  - Opportunity to be Heard or Hearing
  - Order Accepting an Offer of Settlement
  - Order, Decree or Proceeding
  - Pending or Adverse Regulatory Matters
  - Perjury
  - Personal Service or Service of Process
  - Plea Agreement
  - Pleadings
  - Regulatory Directive
  - Regulatory Notice or Request
  - Regulatory Proceeding or Complaint
  - Represented or Representation by Counsel
  - Respondent
  - Restrain, Restraining or Restrained
  - Robbery
  - Sanction or Discipline
  - Settled or Settlement
  - Subject of or Named Party
  - Testify or Testimony
  - Theft
  - Vacated or Withdrawn
  - Witness
- Legal Entities, Relationships & Physical Locations
  - Association
  - Back Office
  - Bank Premises
  - Beneficiaries
  - Blind Trust
  - Branch Location
  - Broker-Customer Relationship
  - Business Relationships
  - Business Size, Operations, Structure or Model
  - Business Units, Departments or Segments
  - Capital Accounts
  - Common Business Purposes & Interests
  - Common Supervision Among Entities
  - Company or Corporation
  - Conduit Entity
  - Consolidated Supervision
  - Contractual Relationship
  - Controlling or Controlled By
  - Customer-Authorized Agent Relationship
  - Delegation of Authority
  - Distinct Legal Person
  - Entities Controlling a Member or an Associated Person
  - Entities or Accounts Controlled by, Owned by, or in which a Member or an Associated Person Have an Interest
  - Family or Personal Relationships
  - Fictional Business Name or Doing Business As (DBA)
  - Fiduciary
  - Foreign Location or Jurisdiction
  - Franchisee
  - General Account, Separate Account or Investment Account
  - Guardian or Guardianship
  - Guests
  - Holding Company
  - Home Country
  - Joint Interest or Ownership
  - Joint Stock Company
  - Letter of Authorization
  - Limited Liability Company (LLC)
  - Liquidating Agent
  - Liquidator
  - Location of Supervisor
  - Main Office, Principal Place of Business or Other Business Location
  - Meeting Facility
  - Member of Household or Dependant
  - Mutual Holding Company
  - Natural Person
  - Non-Branch Location
  - Order Room or Trading Department
  - Parent, Subsidiary or Other Affiliate
  - Partnership
  - Physical Separation
  - Power of Attorney (POA)
  - Pre-Existing Relationships
  - Presumption of Control
  - Primary or Principal Residence or Residential History
  - Receiver
  - Remote, Geographically Distant or Dispersed Location
  - Reorganization
  - S Corporation or Subchapter S Corporation
  - Same Floor or Physical Location
  - Separate Entities
  - Separate Trading Departments or Units
  - Single-Person Firm or Entity
  - Sole Proprietorship
  - Stockholding Company
  - Trading Floor
  - Trust or Estate
  - Trustee or Executor
  - Under Common Control
- Political or Governmental
  - Federal (TR)
  - Foreign (TR)
  - Military or Armed Forces
  - Municipality or Local Jurisdiction
  - State(TR)
- Positions & Titles
  - AML Compliance Person
  - Applicant for Registration
  - Assistant Officer
  - Associated Person (TR)
  - Audit Committee
  - Branch or OSJ Manager
  - Canada Securities Representative (Series 37 & 38)
  - Chartered Financial Analyst (CFA)
  - Chartered Market Technician (CMT)
  - Chief Compliance Officer (CCO)
  - Chief Executive Officer (CEO)
  - Chief Financial Officer (CFO)
  - Chief Legal Officer (CLO)
  - Chief Operating Officer (COO)
  - Co-Executives
  - Common Directors or Management
  - Compliance Officer
  - Compliance Official (Series 14)
  - Corporate Securities Representative (Series 62)
  - Credit Risk Officer
  - Designated Custodian
  - Direct Participation Programs Principal (Series 39)
  - Direct Participation Programs Representative (Series 22)
  - Directors or Board Members or Board of Directors
  - Dual Positions or Roles
  - Executive, Management or Operations Committee
  - Financial and Operations Principal (Series 27)
  - Foreign Associate
  - Former Registered or Associated Person
  - Functionally Equivalent Individuals, Governing Bodies or Committees
  - General Securities Principal (Series 24)
  - General Securities Representative (Series 7)
  - General Securities Sales Supervisor (Series 9 / 10)
  - Government Securities Principal
  - Government Securities Representative (Series 72)
  - Heads of Business Units
  - Individuals Performing Policy-Implementation or Decision-Making Functions
  - Introducing Broker-Dealer Financial and Operations Principal (Series 28)
  - Investment Adviser Representative (IAR)
  - Investment Banking Principal
  - Investment Banking Representative (Series 79)
  - Investment Company & Variable Contracts Products Principal (Series 26)
  - Investment Company and Variable Contracts Products Representative (Series 6)
  - Limited Partner
  - Line Manager
  - Manager or Senior Manager
  - Members of Credit Risk Committee
  - Municipal Fund Securities Limited Principal (Series 51)
  - Municipal Securities Principal (Series 53)
  - Non-Associated Person
  - Officer, Senior Officer or Senior Executive Officer
  - Operations Professional (Series 99)
  - Options Representative (Series 42)
  - Order Processing Assistant Representative (Series 11)
  - Owner or Controlling Person
  - Partner or General Partner
  - Principal (TR)
  - Principal Financial Officer
  - Principal Operations Officer
  - Private Securities Offerings Principal
  - Private Securities Offerings Representative (Series 82)
  - Producing Manager
  - Registered Options Principal (Series 4)
  - Registered Person
  - Regulatory Element Contact Person
  - Reporting Lines
  - Representative (TR)
  - Research Analyst (Series 86 & 87)
  - Research Principal
  - Securities Trader (Series 57)
  - Securities Trader Principal
  - Senior Management
  - Supervisor or Direct Supervisor
  - Supervisory Analyst (Series 16)
  - United Kingdom Securities Representative (Series 17)
  - Voting Member of a Board or Committee
- Regulators & Industry Organizations
  - Appropriate Regulatory Agency or Authority
  - Banking Regulators
  - Basel Committee on Banking Supervision
  - Business or Professional Organizations (eg, American Institute of Certified Public Accountants (AICPA))
  - Canadian Stock Exchange or Securities Regulator
  - Commodity Futures Trading Commission (CFTC)
  - Consolidated Supervisor
  - Consumer Financial Protection Bureau (CFPB)
  - Department of the Treasury
  - Designated Examining Authority (DEA)
  - Federal
  - Federal Deposit Insurance Corporation (FDIC)
  - Federal Reserve Bank of New York
  - Federal Reserve Board of Governors
  - Financial Conduct Authority (FCA)
  - Financial Crimes Enforcement Network (FinCen)
  - FINRA, FINRA Subsidiaries, FINRA Department, FINRA Employee or FINRA Executive
  - Foreign Regulator or Securities Exchange
  - Government National Mortgage Association (GNMA)
  - Insurance Regulators
  - Municipal Securities Rulemaking Board (MSRB)
  - National Credit Union Administration (NCUA)
  - National Futures Association (NFA)
  - National Futures Exchanges
  - National Securities Exchanges
  - Nationally Recognized Statistical Rating Organization (NRSRO)
  - New York Stock Exchange (NYSE)
  - Office of the Comptroller of the Currency (OCC)
  - Options Clearing Corporation
  - Options Exchanges
  - Other Financial Regulators
  - Securities & Exchange Commission (SEC)
  - Securities Investor Protection Corporation (SIPC)
  - Self-Regulatory Organizations (SROs)
  - State (TR)
- Regulatory, Legal & Ethical
  - Accurate, Accuracy or Accurately
  - Acting on Behalf
  - Active or Inactive Status
  - Actual Notice or Knowledge
  - Adequate or Adequately
  - Administrative or Administratively
  - Advantageous
  - Adverse Effect or Material Adverse Effect
  - Aggregate, Aggregated, Total or Totality
  - Allocation of Responsibilities
  - Alteration or Omission
  - Alternate
  - Anonymous or Anonymously
  - Anything of Value
  - Applicable
  - Appropriate, Appropriateness or Appropriately
  - Arm's Length
  - Arrange or Arranging
  - Assertion of Privilege or Privileged Communications
  - Assistance or Material Assistance
  - Attempt or Attempting
  - Authorized or Unauthorized
  - Automatic or Automatically
  - Balanced Treatment
  - Bankruptcy
  - Basis or Sound Basis
  - Best Interests
  - Bias or Biased
  - Bona Fide
  - Burden of Demonstrating or Showing
  - Business Day
  - By Operation of Law
  - Cause to be Sold
  - Certify or Certification
  - Cheating
  - Citizenship
  - Classification
  - Clear Statement or Explanation
  - Clearly Define
  - Clearly Labeled or Identified
  - Close of Business (COB)
  - Close Proximity or Vicinity
  - Collectively
  - Commencing or Commencement
  - Commercial Bribery
  - Commercial Honor
  - Commercial Use or User
  - Commercially Reasonable
  - Compatible or Compatibility
  - Competitively Bid
  - Complete or Completeness
  - Comprehensive
  - Compromise or Compromised
  - Conclusively
  - Concurrent or Concurrently
  - Confidential or Confidential Treatment
  - Conflicts of Interest
  - Conservatively
  - Consideration
  - Consolidate or Consolidated
  - Construed Broadly
  - Contractual Breach or Misrepresentation
  - Contractual Duty
  - Contractual Liability
  - Corporate Resolution or Similar Authorization
  - Correction of Errors or Factual Errors
  - Customary or Customarily
  - Day-to-Day
  - De Minimis
  - Deceased
  - Deem or Deemed
  - Defer or Toll
  - Deficiency
  - Deleted or Deletion
  - Direct Furtherance
  - Direct or Cause the Direction of Management or Policies
  - Direct or Primary Responsibility
  - Disability or Total Disability
  - Discharge of Duties
  - Discretionary Authority or Investment Decisions
  - Disproportionate
  - Dissolution
  - Domicile or Resident
  - Duly Established
  - Earn or Earned
  - Effective or Effectively
  - Eligible, Eligibility or Re-Eligibility
  - Emergencies or Significant Business Disruptions
  - Entirety or Entirely
  - Entitled
  - Equal or Equally
  - Equivalent
  - Evading or Circumventing
  - Evaluating Facts
  - Exaggerated, Unwarranted or Promissory Statement, Claim, Opinion or Forecast
  - Example or Examples
  - Excessive, in Excess of or Exceeds
  - Expeditious or Expeditiously
  - Express or Implied
  - Extraordinary Circumstances
  - Facilitate or Facilitating
  - Facts & Circumstances Analysis
  - Fair & Balanced Statement or Presentation
  - Fair Competition
  - Fair or Fair Dealing
  - False, Misleading or Untrue Statements
  - Fiduciary Duty or Capacity
  - Final Document
  - Final or Ultimate Responsibility
  - Financial Hardship
  - Financially Independent
  - Forfeit
  - Frequent, Frequently or Frequency
  - Fully
  - Give or Permit To Be Given
  - Good Character & Business Reputation
  - Good Faith
  - Good Standing
  - Grievance or Aggrieved
  - Health Status
  - High Standards of Professional or Business Conduct
  - Identical
  - Identification Number
  - Identity Theft
  - Immediate or Immediately
  - Impending
  - Impracticable
  - Impropriety
  - Inaccurate, Inaccuracy or Discrepancy
  - Incapacitated
  - Incidental
  - Incremental
  - Independent or Independently
  - Indispensable
  - Individually
  - Inducement
  - Industry-Standard Master Forms of Agreement
  - Inference or Negative Inference
  - Influence or Influencing
  - Inherent or Inherently
  - Insolvent or Insolvency
  - Inspect & Copy
  - Insulated
  - Integrity
  - Intent or Motive
  - Intentionally or Recklessly Avoiding Facts
  - Interfere or Interference
  - Interject
  - Interpretations
  - Irrevocable
  - Just & Equitable Principles of Trade
  - Know or Believe, or Have Reason to Know or Believe
  - Knowledge or Expertise in Subject Matter
  - Knowledge to the Contrary
  - Legal Opinion of Independent Counsel
  - Legal Responsibilities & Liabilities
  - Licensing Agreement
  - Likelihood
  - Look-Back
  - Look-Forward
  - Look-Through
  - Made Available Upon Request or Otherwise
  - Made, Maintained, Kept, Retained or Preserved
  - Manipulative, Fraudulent or Deceptive Practices
  - Manual or Manually
  - Material Change
  - Material Difference
  - Material Facts or Terms
  - Material Failure
  - Material or Contractual Commitment
  - Material or Materially
  - Materially Contributes or Provides
  - Maximum
  - Minimum
  - Modify, Modification, Modified or Amended
  - More Frequent
  - Negotiate or Negotiated
  - Nominal
  - Non-Discriminatory
  - Non-Exhaustive
  - Non-Presumption or Not Presumed
  - Non-Selective
  - Normal or Ordinary Course
  - Not Extensive
  - Not Probative
  - Objective & Reliable Information
  - Occasional or Infrequent
  - Offensive or Defamatory
  - Offset
  - Opting-In
  - Ordinary or Ordinarily
  - Original or Originally
  - Out of Date
  - Outdated
  - Outside the Scope
  - Paid-For-In-Full
  - Partial or Partially
  - Pass or Fail
  - Periodic or Periodically
  - Permanent or Permanently
  - Personal Safety
  - Physical Description
  - Physical Presence
  - Plain Meaning
  - Practicable
  - Predetermined
  - Prerequisites
  - Pressure or Pressuring
  - Presumption or Presumed
  - Primary or Primarily
  - Principally
  - Pro-Rata
  - Produce or Production
  - Professionalism or Professional Responsibility
  - Prominent or Prominently
  - Prompt or Promptly
  - Proportionate Share or Ratio
  - Protection of Investors
  - Public Health & Safety
  - Public Interest
  - Public Records or Public Disclosure
  - Publicly Available
  - Random Methodology
  - Rationale
  - Readily Apparent
  - Readily Marketable
  - Reasonable Diligence
  - Reasonable Expectation
  - Reasonable or Reasonableness
  - Reasonable Steps
  - Reasonably Concluded or Determined
  - Reasonably Designed
  - Reasonably Expected or Likely
  - Reasonably Sufficient
  - Reasonably, Readily or Easily Available, Accessible or Retrievable
  - Rebut, Rebuttal, Rebutted or Rebuttable
  - Reciprocate, Reciprocal or Reciprocity
  - Reciprocate, Reciprocated or Reciprocation
  - Refusal or Failure to Provide Information
  - Regular & Rigorous Review
  - Regular, Routine or Continuous Basis
  - Regularly Engaged in the Business
  - Regularly Published
  - Reinstate
  - Related To or In Relation To
  - Release or Waiver
  - Reliance on Others
  - Reported or Reportable
  - Reputable
  - Reputation or Reputational
  - Rescind or Rescinded
  - Retaliate or Retaliation
  - Returned in Full
  - Reward or Rewarding
  - Right to Demand or Receive
  - Rules of Conduct
  - Safe Harbor
  - Safeguards or Safeguarding
  - Same Manner
  - Satisfactory or Mutually Satisfactory
  - Scope or Limited Scope of Business Activities or Responsibilities
  - SEC Guidance or No-Action
  - Security or Privacy
  - Separate or Separately
  - Signed or Executed
  - Similarly Situated
  - Simultaneous or Simultaneously
  - Solely for Regulatory Purposes or Use
  - Solely, Exclusively or Only
  - Source of Information
  - Standard Industry Practice
  - Substitute or Substitution
  - Succession
  - Successive or Consecutive
  - Supporting Documentation
  - Tailored
  - Temporary or Temporarily
  - Termination Clause or Clauses
  - Termination of Agreement or Contract
  - Theoretical
  - Threaten to Withhold
  - Together or in Concert with Others
  - Treat As Your Own
  - Truly Held Opinions
  - Unauthorized Access
  - Unavailable
  - Undue
  - Uniform or Uniformly
  - Update, Updating, Updated or Current
  - US-Licensed Counsel
  - Valid
  - Valid Opinion
  - Verification of Facts
  - Verify or Verified
  - Voluntarily
  - Volunteer or Volunteering
  - Waiting Period
  - Widely Disseminated
  - Widespread
  - Withdrawal
- Research
  - Analyst Name
  - Analyst Ranking
  - Buy, Hold or Sell Rating
  - Coverage or Coverage Plan Decisions
  - Coverage Universe
  - Draft Research
  - Factual Review
  - Favorable Research
  - Final Research Report, Recommendation or Rating
  - Negative or Unfavorable Research
  - Prepublication Review Prohibition
  - Quiet Periods
  - Rating or Rating System
  - Termination of Coverage
  - Time Horizon & Benchmarks
- Securities Offerings, Distributions & Other Investment Banking
  - Accommodation Sales
  - Agency Agreement
  - Agreement Among Underwriters or Syndicate Agreement
  - Allocation Management & Final Allocations
  - Annual, Semi-Annual or Quarterly Public Reports
  - Application for Conversion
  - Appraisal
  - Asset Sales or Divestitures
  - Best Efforts Offering
  - Book-Running
  - Breaking Escrow or Released from Escrow
  - Buy-Backs
  - Commencement of Sales
  - Completion of Offering
  - Concurrent Offering
  - Consulting Agreement
  - Conversion Offering (TR)
  - Corporate Reorganization or Other Business Combination
  - Date of First Sale
  - Declaration or Notice of Effectiveness
  - Delayed or Continuous Offering
  - Delinquent Filers
  - Demand Registration Right
  - Dollar Amount of Offering
  - Due Diligence
  - Engagement Letter
  - Equity Lines of Credit (ELOC)
  - Escrow Account
  - Escrow Agreement
  - Exchange Offers
  - Exempt from Registration or Unregistered
  - Financial Restructuring
  - Firm Commitment Offering
  - Flipping
  - Follow-On Offering
  - Foreign Offering
  - Fund Profiles
  - Initial Public Offering (IPO)
  - Investment Banking Pitch or Solicitation
  - Investment Banking Services or Activities
  - Issue or Issuance
  - Issuer-Directed Shares or Sales
  - Kick-Back
  - Letter of Intent
  - Lock-Up Restriction or Agreement
  - Member Self-Offering
  - Mergers & Acquisitions (M&A)
  - Notice of Intention
  - Notification of Filing
  - Offering Memorandum
  - Offering or Issue Date
  - Offering Price
  - Offering Statement, Memorandum or Circular
  - Offering Summary
  - Offerings of Similar Size & Type
  - Original Distribution Period
  - Original Issue
  - Origination
  - Overallotment or Greenshoe Option
  - Partnership Agreement
  - Penalty Bid (TR)
  - Periodic Repurchase Offers
  - Piggyback Registration Right
  - Pitch Book
  - Plan of Distribution
  - Preemptive Rights, Anti-Dilution or Subscription Rights
  - Pricing or Pricing Committee
  - Primary Offering
  - Private
  - Private Investment, Public Equity Transactions (PIPEs)
  - Private Placement Memorandum (PPM)
  - Prospectus
  - Public
  - Public Market
  - Public Offering Price (POP)
  - Purchase Agreement
  - Quid Pro Quo
  - Registered
  - Registration Statement
  - Returned Shares
  - Right of First Refusal
  - Rights Offering
  - Road Show
  - Secondary Offering
  - Selected Dealer Agreement or Selling Group Agreement
  - Shelf Offering
  - Solvency Opinion
  - Spin-Off or Reverse Spin-Off
  - Spinning
  - Stabilization
  - Stand-By Agreement
  - Syndicate Covering Transactions
  - Syndicate Short Position
  - Syndication
  - Takedown
  - Tender Offers
  - Term Sheet
  - Termination for Cause
  - Termination or Withdrawal of Offering
  - Under-Subscribed Offering
  - Underwriter's Warrant Agreement
  - Underwriting Agreement
  - Underwriting Commitment & Retention Amounts
  - Use of Proceeds
  - Venture Capital (VC)
- Settlement, Clearance, Operations & Financial
  - Account Freeze
  - Additional Margin
  - Advice Cancel
  - Aggregate Indebtedness
  - Allowable & Non-Allowable Assets
  - Annual BCP Review
  - Appraisal of Securities
  - Audited Financial, Operational or Examination Report
  - Automated Random Selection Basis
  - Buy-In
  - Calculation & Collection of Margin
  - Capital Deductions, Allowances or Adjustments
  - Capital Risk Analysis Methodology
  - Capital Risk Assessment & Monitoring
  - Capital Risk Management Policies & Control Systems
  - Carrying Agreement or Standard Carrying Agreement
  - Carrying Firm Questionnaire
  - Carrying Firm Responsibilities
  - Cash Account
  - Cash Available Basis
  - Cash Equivalents or Qualified Equity Securities
  - Cash Settlement or Cash Settled
  - Cashiering (eg, Receipt & Delivery, Deposits, Disbursement of Funds, Account Transfers or Conversions, Sweeps, Reconciliation)
  - Clearing Services
  - Client or Customer On-Boarding (eg, Account Opening Process, Account Data & Documentation)
  - Collateral Deposits
  - Concentration & Exposure
  - Contrary Exercise Advice
  - Corporate Actions (eg, Proxy, Dividends, Redemptions)
  - Credit Limits
  - Credit Risk Exposure
  - Data Back-Up & Recovery (Hard Copy & Electronic)
  - Delayed or Future Delivery
  - Deposit of Cash or Securities
  - Due Diligence of New Introducing Firm Relationships
  - Ex-Date
  - Excess Net Capital
  - Exercise Advice
  - Exercise Instruction
  - Exercise Notice
  - Exercise Settlement Amount
  - Exercise-by-Exception (Ex-by-Ex)
  - Extension of Credit
  - Final Exercise Decisions
  - Final Settlement Price
  - Financial & Operational Assessments
  - Financial Control (eg, General Ledger, Treasury, Liquidity)
  - Financial, Operational, Credit & Reputational Risk Assessment
  - First In-First Out (FIFO)
  - Free Credit Balances
  - Free-Riding Restrictions
  - Fully-Disclosed Account
  - Futures Account
  - Good Faith Margin
  - Guaranteed Accounts
  - Haircut or Discount
  - Holding Positions Overnight
  - Initial Margin
  - International Arbitrage
  - Joint Back Office (JBO) Arrangements
  - Journal Entries
  - Liquidating Equity
  - Maintenance Margin
  - Margin Account
  - Margin Call
  - Margin Deficiency
  - Margin Deposit
  - Margin Eligible Securities
  - Mark-to-Market or Marked to the Market
  - Minimum Equity Requirement
  - Mission Critical Systems
  - Net Capital Computation
  - Net Capital Deductions
  - Net Capital Deficiency
  - Non-Margin Eligible Securities
  - Omnibus Account
  - Physical Settlement
  - Piggyback, Tri-Party or Intermediary Clearing Arrangement
  - Portfolio Margin or Portfolio Margining
  - Possession, Custody or Control of Books & Records
  - Pre-Established Guidelines
  - Pricing Models Used for Valuations
  - Prime Brokerage
  - Processing Cut-Off Time
  - Proprietary Accounts of a Broker-Dealer (PAB)
  - Purchases & Sales (eg, Securities Positions, Money Balances, Confirmations & Account Statements)
  - Reference Data Management
  - Regular Settlement
  - Regular Way Delivery
  - Risk Limit or Risk Limit Usage
  - Safeguarding & Custody of Assets (eg, Segregation, Possession & Control, Custodian)
  - Securities Financing Transactions (eg, Stock Loan, Securities Lending, Repurchase Agreements (Repos))
  - Security Futures Dealers' Accounts
  - Settlement Date
  - Settlement Process (eg, T+2, Delivery-Versus-Payment (DVP), Receipt-Versus-Payment (RVP), Errors, Fail Control (Settlement or Receipt) & Buy-Ins)
  - Special Maintenance Margin
  - Specialists' or Market Makers' Accounts
  - Strategy-Based Margin
  - Stress Testing
  - Sub-Account
  - Subordination Agreement or Loan
  - Tendering Procedures for Exercise of Options
  - Time Stamp
  - Trade Capture & Management (eg, Enrichment, Validation, Allocation, Reporting)
  - Trade Date
  - Unmatched Transactions
  - Unpaid Transactions
  - Unsettled Transactions
  - When Distributed Securities
  - When Issued Securities
  - Written Risk Policies & Procedures
- Supervisory & Compliance
  - Account Monitoring or Review
  - Account or Order Acceptance or Approval
  - Account Supervision
  - AML Training
  - Announced or Unannounced Inspections
  - Annual Compliance Certification
  - Annual Compliance Meeting
  - Antifraud & Sales Practices
  - Approval of Options Trading or Account
  - Associated or Registered Person Compliance Representation
  - Automated Surveillance & Monitoring Tools
  - Compensation or Budget Decisions
  - Complaint History
  - Compliance Personnel
  - Customer Risk Profile
  - Detection or Mitigation
  - Disciplinary History
  - Escalation, Internal Reporting or Notification
  - Examination Cycle
  - Exception Reports or Reporting
  - Finance & Operations
  - Firewalls or Information Barriers Between Groups or Departments
  - Heightened or Additional Supervision
  - Identification & Management of Conflicts
  - Independent Review
  - Internal Action or Disciplinary Action
  - Internal Conclusions of Violative Conduct
  - Internal Controls
  - Internal or External Consultation
  - Internal Review or Investigation
  - On-Site Inspections
  - Overrides
  - Red Flags or Other Indicators of Misconduct
  - Remote Inspections
  - Restrictions or Limitations on Borrowing From or Lending to Customers
  - Restrictions or Limitations on Personal Trading
  - Restrictions Relating to Options Trading
  - Review & Handling of Customer Complaints
  - Review of Discretionary Accounts & Trades
  - Risk-Based Criteria, Analysis or Methodology
  - Sales Supervision
  - Sales Target or Other Sales Incentives
  - Self-Reporting
  - Signature or Authorization Requirement (Written or Electronic)
  - Significant Regulatory or Compliance Issues
  - Spot-Check Review
  - Supervision of Personal Trading
  - Supervision of Supervisors
  - Supervisory Control Procedures (SCPs)
  - Supervisory Location
  - Supervisory Personnel
  - Supervisory Practices
  - Supervisory Responsibilities or Control
  - Supervisory System
  - Suspicious Activity Report (SAR)
  - Testing or Verification
  - Training & Education
  - Transaction Review
  - Unusual Trading Activities
  - Written Compliance Policies (WCPs)
  - Written Supervisory Procedures (WSPs)
- Systems, Facilities & Plans
  - Advertising Regulation Electronic Files (AREF)
  - Automated Customer Account Transfer System (ACATS)
  - BrokerCheck
  - Central Registration Depository (CRD)
  - eFOCUS
  - Financial Professional Gateway (FinPro)
  - FINRA Contact System (FCS)
  - Private Placement Filing System (PPFS)
  - Public Offering System
  - Regulatory Filings Application
- Tax
  - Accountable & Non-Accountable Expense Allowance
  - Advantages
  - Benefits
  - Brackets
  - Capital Gains
  - Characteristics
  - Compounding
  - Deferred
  - Exempt or Free
  - Features & Considerations
  - Flow-Through Tax
  - Income
  - Liability or Consequences
  - Marginal Rate
  - Ordinary Income
  - Penalties
  - Residence
  - Status
  - Stock Transfer Tax
  - Tax Identification or Social Security Number
  - Tax-Sheltered Program or Product
- Technology
  - Business Requirements
  - CD-ROM
  - Converting Record Storage Formats (eg, Hard Copy to Electronic)
  - Data Elements
  - Data Security or Security Method
  - Design, Development or Modification
  - Disk or Diskette
  - DVD
  - Electronic Format
  - Electronic Information
  - Electronic Interface
  - Electronic Storage Media (ESM)
  - Electronic System
  - Encoded Format
  - Encrypt, Encryption or Encrypted
  - Encryption Key or Confidential Process for Decryption
  - Entitlement
  - Flash Drive
  - Information Technology
  - Laptop
  - Portable Hard Drive
  - Portable Storage Device
  - Problem Codes
  - Product Codes
  - Record Conversion Process
  - Recreated Copy
  - Security
  - Systems or Automated Systems
  - Transformation of Data
  - Validation
- Trading
  - Accessibility of Quotation
  - Actively-Traded Securities (TR)
  - Adjusted Option
  - Adjustment of Open Orders
  - Agency Transactions
  - Aggregate Position
  - Algorithmic Trading
  - Automated Order Routers
  - Availability of Quotation
  - Best Execution Written Policies & Procedures
  - Best Market or Best Available Market
  - Best Quotes
  - Bid Price
  - Character of Market
  - Characteristics and Risks of Standardized Options (ODD)
  - Churning or Excessive Trading
  - Close of Trading
  - Closing Transactions or Closing Out
  - Competing Markets
  - Conventional Option (TR)
  - Cost-Equity Ratio
  - Crossed Order
  - Customer Trading Needs & Expectations
  - Daily Closing Price
  - Day-Trading
  - Direct Access
  - Discretionary Order
  - Dollar or Currency Pricing
  - DVP/RVP Basis
  - Exchange-Listed Option
  - Exchange-Traded or -Listed
  - Executing Away
  - Execution Price
  - Execution Size
  - Execution Speed
  - Float or Public Float
  - Foreign Market
  - Good-Til-Cancelled (GTC) Order
  - Illiquid Securities
  - In-and-Out Trading
  - Indications of Interest
  - Insider Trading
  - Inter-Dealer Market
  - Inter-Dealer Transactions
  - Intra-Day Trading (Same-Day Buying & Selling)
  - Limit Order
  - Limited Pricing Information or Quotations
  - Liquid Securities
  - Listing Standards
  - Maintenance of Fair & Orderly Market
  - Market Center
  - Market Conditions or Events
  - Market Expertise
  - Market Order
  - Market Risk
  - Market-On-Open Order
  - Marketable Order
  - Material, Non-Public Information
  - Material, Public Information
  - Member's Quote or Quotation
  - Misappropriation Theory
  - Multiple Quotes or Quotations
  - Multiple Trades
  - Not Held Basis
  - Number of Markets
  - Offer or Ask Price
  - Open or Unfilled Order
  - Opening Transactions
  - Opposite Side of the Market
  - Options Market or Markets
  - Order Entry & Transmission
  - Order Flow
  - Order Instructions
  - Order Ticket
  - Order Type
  - Order-by-Order
  - OTC Option
  - Over-the-Counter (OTC) or Unlisted
  - Position Limit or Exercise Limit
  - Post-Trade
  - Pre-Existing Market
  - Pre-Trade
  - Pressure on Available Communications
  - Price Improvement or Disimprovement
  - Principal Transactions
  - Prior Trades
  - Program or Systematic Trading
  - Proprietary Trading
  - Quality of Execution
  - Quantitative Designation Criteria for Listing
  - Quotation Medium
  - Relative Weight or Representative of Security
  - Reporting or Quotation Service
  - Resultant Price
  - Routed Order
  - Routing Arrangements
  - Same or Similar Price
  - Same Side of the Market
  - Security-by-Security
  - Segregated Trading Account
  - Self-Directed or Non-Discretionary Trade
  - Single Trade
  - Solicited Order or Trade
  - Special Statement for Uncovered Option Writers (Special Written Statement)
  - Specific or Particular Security
  - Standardized Option
  - Stock Market or Secondary Market
  - Stock Symbol
  - Subject Security
  - Terms & Conditions of Order or Transaction
  - Time & Tick
  - Time or Price Discretion
  - Trade Allocation
  - Trade Comparison
  - Trade Error
  - Trade Internalization
  - Trading & Market Activities
  - Trading at a Premium
  - Trading Day
  - Trading Facilities
  - Trading Volume or Average Daily Trading Volume (ADTV)
  - Transaction Type or Size
  - Transactional or Trade Data
  - Transparency Standards
  - Turnover Rate
  - Unlisted Trading Privileges (UTP)
  - Unsolicited Order or Trade
  - Yield Pricing

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FINRA Rules

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0100. General Standards
1000. Member Application and Associated Person Registration
2000. Duties and Conflicts
3000. Supervision and Responsibilities Relating to Associated Persons
4000. Financial and Operational Rules
5000. Securities Offering and Trading Standards and Practices
6000. Quotation, Order, and Transaction Reporting Facilities
7000. Clearing, Transaction and Order Data Requirements, and Facility Charges
8000. Investigations and Sanctions
9000. Code of Procedure
11000. Uniform Practice Code
12000. Code of Arbitration Procedure for Customer Disputes
13000. Code of Arbitration Procedure for Industry Disputes
14000. Code of Mediation Procedure

The results here are not representative of the whole FINRA Rulebook since the topics are only available for 40 FINRA Rules.

3110. Supervision
3000. SUPERVISION AND RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS >> 3100. SUPERVISORY RESPONSIBILITIES

Expand All

0100. GENERAL STANDARDS

0110. Adoption of Rules

0120. Effective Date

0130. Interpretation

0140. Applicability

0150. Application of Rules to Exempted Securities Except Municipal Securities

0151. Coordination with the MSRB

0160. Definitions

0170. Delegation, Authority and Access

0180. Application of Rules to Security-Based Swaps

0190. Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation

1000. MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION

1010. Electronic Filing Requirements for Uniform Forms

1011. Definitions

1012. General Provisions

1013. New Member Application and Interview

1014. Department Decision

1015. Review by National Adjudicatory Council

1016. Discretionary Review by FINRA Board

1017. Application for Approval of Change in Ownership, Control, or Business Operations

1018. Reserved

1019. Application to the SEC for Review

1020. Approval of Change in Exempt Status Under SEA Rule 15c3-3

1021. Foreign Members

1100. MEMBER APPLICATION

1113. Restriction Pertaining to New Member Applications

1120. Member Application Process

1122. Filing of Misleading Information as to Membership or Registration

1200. REGISTRATION AND QUALIFICATION

1210. Registration Requirements

1220. Registration Categories

1230. Associated Persons Exempt from Registration

1240. Continuing Education

2000. DUTIES AND CONFLICTS

2010. STANDARDS OF COMMERCIAL HONOR AND PRINCIPLES OF TRADE

2020. Use of Manipulative, Deceptive or Other Fraudulent Devices

2030. Engaging in Distribution and Solicitation Activities with Government Entities

2040. Payments to Unregistered Persons

2060. Use of Information Obtained in Fiduciary Capacity

2070. Transactions Involving FINRA Employees

2080. Obtaining an Order of Expungement of Customer Dispute Information from the Central Registration Depository (CRD) System

2081. Prohibited Conditions Relating to Expungement of Customer Dispute

2090. Know Your Customer

2100. TRANSACTIONS WITH CUSTOMERS

2110. Recommendations

2111. Suitability

2114. Recommendations to Customers in OTC Equity Securities

2120. Commissions, Mark Ups and Charges

2121. Fair Prices and Commissions

2122. Charges for Services Performed

2124. Net Transactions with Customers

2130. Approval Procedures for Day-Trading Accounts

2140. Interfering With the Transfer of Customer Accounts in the Context of Employment Disputes

2150. Improper Use of Customers' Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts

2165. Financial Exploitation of Specified Adults

2200. COMMUNICATIONS AND DISCLOSURES

2210. Communications with the Public

2211. Communications with the Public About Variable Life Insurance and Variable Annuities

2212. Use of Investment Companies Rankings in Retail Communications

2213. Requirements for the Use of Bond Mutual Fund Volatility Ratings

2214. Requirements for the Use of Investment Analysis Tools

2215. Communications with the Public Regarding Security Futures

2216. Communications with the Public About Collateralized Mortgage Obligations (CMOs)

2220. Options Communications

2230. Customer Account Statements and Confirmations

2231. Customer Account Statements

2232. Customer Confirmations

2240. CONFLICTS OF INTEREST

2241. Research Analysts and Research Reports

2242. Debt Research Analysts and Debt Research Reports

2250. Proxy Materials

2251. Processing and Forwarding of Proxy and Other Issuer-Related Materials

2260. Disclosures

2261. Disclosure of Financial Condition

2262. Disclosure of Control Relationship with Issuer

2263. Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4

2264. Margin Disclosure Statement

2265. Extended Hours Trading Risk Disclosure

2266. SIPC Information

2267. Investor Education and Protection

2268. Requirements When Using Predispute Arbitration Agreements for Customer Accounts

2269. Disclosure of Participation or Interest in Primary or Secondary Distribution

2270. Day-Trading Risk Disclosure Statement

2272. Sales and Offers of Sales of Securities on Military Installations

2273. Educational Communication Related to Recruitment Practices and Account Transfers

2300. SPECIAL PRODUCTS

2310. Direct Participation Programs

2320. Variable Contracts of an Insurance Company

2330. Members' Responsibilities Regarding Deferred Variable Annuities

2340. Investment Companies

2341. Investment Company Securities

2342. "Breakpoint" Sales

2350. Trading in Index Warrants, Currency Index Warrants and Currency Warrants

2351. General Provisions Applicable to Trading in Index Warrants, Currency Index Warrants and Currency Warrants

2352. Account Approval

2353. Suitability

2354. Discretionary Accounts

2355. Supervision of Accounts

2356. Customer Complaints

2357. Communications with the Public and Customers Concerning Index Warrants, Currency Index Warrants and Currency Warrants

2358. Maintenance of Records

2359. Position and Exercise Limits; Liquidations

2360. Options

2370. Security Futures

3000. SUPERVISION AND RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS

3100. SUPERVISORY RESPONSIBILITIES

3110. Supervision

3120. Supervisory Control System

3130. Annual Certification of Compliance and Supervisory Processes

3150. Holding of Customer Mail

3160. Networking Arrangements Between Members and Financial Institutions

3170. Tape Recording of Registered Persons by Certain Firms

3200. RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS

3210. Accounts At Other Broker-Dealers and Financial Institutions

3220. Influencing or Rewarding Employees of Others

3230. Telemarketing

3240. Prohibition on Borrowing From or Lending to Customers

3241. Registered Person Being Named a Customer’s Beneficiary or Holding a Position of Trust for a Customer

3250. Designation of Accounts

3260. Discretionary Accounts

3270. Outside Business Activities of Registered Persons

3280. Private Securities Transactions of an Associated Person

3300. ANTI-MONEY LAUNDERING

3310. Anti-Money Laundering Compliance Program

4000. FINANCIAL AND OPERATIONAL RULES

4100. FINANCIAL CONDITION

4110. Capital Compliance

4111. Restricted Firm Obligations

4120. Regulatory Notification and Business Curtailment

4130. Regulation of Activities of Section 15C Members Experiencing Financial and/or Operational Difficulties

4140. Audit

4150. Guarantees by, or Flow Through Benefits for, Members

4160. Verification of Assets

4200. MARGIN

4210. Margin Requirements

4220. Daily Record of Required Margin

4230. Required Submissions for Requests for Extensions of Time Under Regulation T and SEA Rule 15c3-3

4240. Security-Based Swap Margin Requirements

4300. OPERATIONS

4500. BOOKS, RECORDS AND REPORTS

4510. Books and Records Requirements

4511. General Requirements

4512. Customer Account Information

4513. Records of Written Customer Complaints

4514. Authorization Records for Negotiable Instruments Drawn From a Customer's Account

4515. Approval and Documentation of Changes in Account Name or Designation

4517. Member Filing and Contact Information Requirements

4518. Notification to FINRA in Connection with the JOBS Act

4520. Financial Records and Reporting Requirements

4521. Notifications, Questionnaires and Reports

4522. Periodic Security Counts, Verifications and Comparisons

4523. Assignment of Responsibility for General Ledger Accounts and Identification of Suspense Accounts

4524. Supplemental FOCUS Information

4530. Reporting Requirements

4540. Reporting Requirements for Clearing Firms

4550. ATS Reporting

4551. Requirements for Alternative Trading Systems to Record and Transmit Order and Execution Information for Security Futures

4560. Short-Interest Reporting

4570. Custodian of Books and Records

4580. Books and Records Requirements for Government Distribution and Solicitation Activities

4590. Synchronization of Member Business Clocks

5000. SECURITIES OFFERING AND TRADING STANDARDS AND PRACTICES

5100. SECURITIES OFFERINGS, UNDERWRITING AND COMPENSATION

5110. Corporate Financing Rule — Underwriting Terms and Arrangements

5120. Offerings of Members’ Securities

5121. Public Offerings of Securities With Conflicts of Interest

5122. Private Placements of Securities Issued by Members

5123. Private Placements of Securities

5130. Restrictions on the Purchase and Sale of Initial Equity Public Offerings

5131. New Issue Allocations and Distributions

5140. Integrity of Fixed Price Offerings

5141. Sale of Securities in a Fixed Price Offering

5150. Fairness Opinions

5160. Disclosure of Price and Concessions in Selling Agreements

5190. Notification Requirements for Offering Participants

5200. QUOTATION AND TRADING OBLIGATIONS AND PRACTICES

5210. Publication of Transactions and Quotations

5220. Offers at Stated Prices

5230. Payments Involving Publications that Influence the Market Price of a Security

5240. Anti-Intimidation/Coordination

5250. Payments for Market Making

5260. Prohibition on Transactions, Publication of Quotations, or Publication of Indications of Interest During Trading Halts

5270. Front Running of Block Transactions

5280. Trading Ahead of Research Reports

5290. Order Entry and Execution Practices

5300. HANDLING OF CUSTOMER ORDERS

5310. Best Execution and Interpositioning

5320. Prohibition Against Trading Ahead of Customer Orders

5330. Adjustment of Orders

5340. Pre-Time Stamping

5350. Stop Orders

6000. QUOTATION, ORDER, AND TRANSACTION REPORTING FACILITIES

6100. QUOTING AND TRADING IN NMS STOCKS

6110. Trading Otherwise than on an Exchange

6120. Trading Halts

6121. Trading Halts Due to Extraordinary Market Volatility

6130. Transactions Related to Initial Public Offerings

6140. Other Trading Practices

6150. Obligation to Provide Information

6151. Disclosure of Order Routing Information for NMS Securities

6160. Multiple MPIDs for Trade Reporting Facility Participants

6170. Multiple MPIDs for Alternative Display Facility Participants

6180. Transaction Reporting

6181. Timely Transaction Reporting

6182. Trade Reporting of Short Sales

6183. Exemption from Trade Reporting Obligation for Certain Alternative Trading Systems

6184. Transactions in Exchange-Traded Managed Fund Shares ("NextShares")

6190. Compliance with Regulation NMS Plan to Address Extraordinary Market Volatility

6191. Compliance with Regulation NMS Plan to Implement a Tick Size Pilot Program

6200. ALTERNATIVE DISPLAY FACILITY

6210. General

6220. Definitions

6230. Use of Alternative Display Facility Data Systems

6240. Prohibition from Locking or Crossing Quotations in NMS Stocks

6250. Quote and Order Access Requirements

6260. Review of Direct or Indirect Access Complaints

6270. Quoting and Trading in ADF-Eligible Securities

6271. Registration as an ADF Market Maker or ADF ECN

6272. Character of Quotations

6273. Normal Business Hours

6274. Clearance and Settlement

6275. Withdrawal of Quotations

6276. Voluntary Termination of Registration

6277. Suspension and Termination of Quotations by FINRA Action

6278. Termination of Alternative Display Facility Data System Service

6279. Alternative Trading Systems

6280. Transaction Reporting

6281. Reporting Transactions in ADF-Eligible Securities

6282. Transactions Reported by Members to the ADF

6300. TRADE REPORTING FACILITIES

6300A. FINRA/NASDAQ TRADE REPORTING FACILITIES

6310A. General

6320A. Definitions

6330A. Use of FINRA/Nasdaq Trade Reporting Facility on a Test Basis

6340A. Reports

6350A. Clearance and Settlement

6360A. Suspension and Termination by FINRA Action

6370A. Termination of FINRA/Nasdaq Trade Reporting Facility Service

6380A. Transaction Reporting

6300B. FINRA/NYSE TRADE REPORTING FACILITY

6310B. General

6320B. Definitions

6330B. Use of FINRA/NYSE Trade Reporting Facility on a Test Basis

6340B. Reports

6350B. Clearance and Settlement

6360B. Suspension and Termination by FINRA Action

6370B. Termination of FINRA/NYSE Trade Reporting Facility Service

6380B. Transaction Reporting

6400. QUOTING AND TRADING IN OTC EQUITY SECURITIES

6410. General

6420. Definitions

6430. OTC Equity Quotation Requirements

6431. Recording of Quotation Information

6432. Compliance with the Information Requirements of SEA Rule 15c2-11

6433. Minimum Quotation Size Requirements For OTC Equity Securities

6434. Minimum Pricing Increment for OTC Equity Securities

6435. Withdrawal of Quotations in an OTC Equity Security in Compliance with SEC Regulation M

6437. Prohibition from Locking or Crossing Quotations in OTC Equity Securities

6438. Displaying Priced Quotations in Multiple Quotation Mediums

6439. Requirements for Member Inter-Dealer Quotation Systems

6440. Trading and Quotation Halt in OTC Equity Securities

6450. Restrictions on Access Fees

6460. Display of Customer Limit Orders

6470. Disclosure of Order Routing Information for OTC Equity Securities

6480. Multiple MPIDs for Quoting and Trading in OTC Equity Securities

6490. Processing of Company-Related Actions

6500. SECURITIES LENDING AND TRANSPARENCY ENGINE (SLATE)

6510. Definitions

6520. Participation in SLATE

6530. Reporting Securities Loan Information

6540. Dissemination of Loan Information

6550. Emergency Authority

6600. OTC REPORTING FACILITY

6610. General

6620. Reporting Transactions in OTC Equity Securities and Restricted Equity Securities

6621. Definitions

6622. Transaction Reporting

6623. Timely Transaction Reporting

6624. Trade Reporting of Short Sales

6625. Exemption from Trade Reporting Obligation for Certain Alternative Trading Systems

6630. Applicability of FINRA Rules to Securities Previously Designated as PORTAL Securities

6700. TRADE REPORTING AND COMPLIANCE ENGINE (TRACE)

6710. Definitions

6720. Participation in TRACE

6730. Transaction Reporting

6731. Exemption from Trade Reporting Obligation for Certain Alternative Trading Systems

6732. Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System

6740. Termination of TRACE Service

6750. Dissemination of Transaction Information

6760. Obligation To Provide Notice and Dissemination of Corporate Debt Security New Issue Reference Data

6770. Emergency Authority

6800. CONSOLIDATED AUDIT TRAIL COMPLIANCE RULE

6810. Definitions

6820. Clock Synchronization

6830. Industry Member Data Reporting

6840. Customer Information Reporting

6850. Industry Member Information Reporting

6860. Time Stamps

6865. Time Stamp and Clock Synchronization Rule Violations

6870. Connectivity and Data Transmission

6880. Development and Testing

6890. Recordkeeping

6893. Timely, Accurate and Complete Data

6895. Compliance Dates

6897. Consolidated Audit Trail Funding Fees

6898. Consolidated Audit Trail—Fee Dispute Resolution

7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES

7100. ALTERNATIVE DISPLAY FACILITY

7110. Definitions

7120. Trade Reporting Participation Requirements

7130. Trade Report Input

7140. Trade Report Processing

7150. Obligation to Honor Trades

7160. Audit Trail Requirements

7170. Violation of Reporting Rules

7180. Termination of Access

7200. TRADE REPORTING FACILITIES

7200A. FINRA/NASDAQ TRADE REPORTING FACILITIES

7210A. Definitions

7220A. Trade Reporting Participation Requirements

7230A. Trade Report Input

7240A. Trade Report Processing

7250A. Obligation to Honor Trades

7260A. Audit Trail Requirements

7270A. Violation of Reporting Rules

7280A. Termination of Access

7200B. FINRA/NYSE TRADE REPORTING FACILITY

7210B. Definitions

7220B. Trade Reporting Participation Requirements

7230B. Trade Report Input

7240B. Trade Report Processing

7250B. Obligation to Honor Trades

7260B. Audit Trail Requirements

7270B. Violation of Reporting Rules

7280B. Termination of Access

7300. OTC REPORTING FACILITY

7310. Definitions

7320. Trade Reporting Participation Requirements

7330. Trade Report Input

7340. Trade Report Processing

7350. Obligation to Honor Trades

7360. Audit Trail Requirements

7370. Violation of Reporting Rules

7380. Termination of Access

7500. CHARGES FOR ALTERNATIVE DISPLAY FACILITY SERVICES AND EQUIPMENT

7510. System Services

7520. FIX Connectivity Charge

7530. Other Services

7540. Partial Month Charges

7550. Late Fees

7560. Minor Modifications in Charges

7580. Capacity Fees and Penalties

7581. Excess Capacity Usage Fees

7582. Shortfall Capacity Usage Fees

7583. Penalties Incurred Pursuant to the National Market System Data Plans

7600. DATA PRODUCTS AND CHARGES FOR TRADE REPORTING FACILITY SERVICES

7600A. DATA PRODUCTS AND CHARGES FOR FINRA/NASDAQ TRADE REPORTING FACILITY SERVICES

7610A. Securities Transaction Credit

7620A. FINRA/Nasdaq Trade Reporting Facility Reporting Fees

7630A. Aggregation of Activity of Affiliated Members

7640A. Data Products Offered by NASDAQ

7650A. Collection of Fees and Billing Policy

7600B. CHARGES FOR FINRA/NYSE TRADE REPORTING FACILITY SERVICES

7610B. Securities Transaction Credit

7620B. FINRA/NYSE Trade Reporting Facility Reporting Fees

7630B. Aggregation of Activity of Affiliated Members

7640B. Data Products Offered By NYSE

7650B. Reserved

7660B. FINRA/NYSE Trade Reporting Facility Fees for Non-Participants

7700. CHARGES FOR OTC REPORTING FACILITY, SECURITIES LENDING AND TRANSPARENCY ENGINE, AND TRADE REPORTING AND COMPLIANCE ENGINE SERVICES

7710. OTC Reporting Facility

7720. Securities Lending and Transparency Engine (SLATE)

7730. Trade Reporting and Compliance Engine (TRACE)

8000. INVESTIGATIONS AND SANCTIONS

8100. GENERAL PROVISIONS

8110. Availability of Manual to Customers

8120. Definitions

8200. INVESTIGATIONS

8210. Provision of Information and Testimony and Inspection and Copying of Books

8211. Automated Submission of Trading Data Requested by FINRA

8213. Automated Submission of Trading Data for Non-Exchange-Listed Securities Requested by FINRA

8300. SANCTIONS

8310. Sanctions for Violation of the Rules

8311. Effect of a Suspension, Revocation, Cancellation, Bar or Other Disqualification

8312. FINRA BrokerCheck Disclosure

8313. Release of Disciplinary Complaints, Decisions and Other Information

8320. Payment of Fines, Other Monetary Sanctions, or Costs; Summary Action for Failure to Pay

8330. Costs of Proceedings

9000. CODE OF PROCEDURE

9100. APPLICATION AND PURPOSE

9110. Application

9120. Definitions

9130. Service; Filing of Papers

9140. Proceedings

9150. Exclusion From Rule 9000 Series Proceeding

9160. Recusal or Disqualification

9200. DISCIPLINARY PROCEEDINGS

9210. Complaint and Answer

9211. Authorization of Complaint

9212. Complaint Issuance — Requirements, Service, Amendment, Withdrawal, and Docketing

9213. Assignment of Hearing Officer and Appointment of Panelists to Hearing Panel or Extended Hearing Panel

9214. Consolidation or Severance of Disciplinary Proceedings

9215. Answer to Complaint

9216. Acceptance, Waiver, and Consent; Plan Pursuant to SEA Rule 19d-1(c)(2)

9217. Violations Appropriate for Disposition Under Plan Pursuant to SEA Rule 19d-1(c)(2)

9220. Request for Hearing; Extensions of Time, Postponements, Adjournments

9221. Request for Hearing

9222. Extensions of Time, Postponements, and Adjournments

9230. Appointment of Hearing Panel, Extended Hearing Panel

9231. Appointment by the Chief Hearing Officer of Hearing Panel or Extended Hearing Panel or Replacement Hearing Officer

9232. Criteria for Selection of Panelists and Replacement Panelists

9233. Hearing Panel or Extended Hearing Panel: Recusal and Disqualification of Hearing Officers

9234. Hearing Panel or Extended Hearing Panel: Recusal and Disqualification of Panelists

9235. Hearing Officer Authority

9240. Pre-hearing Conference and Submission

9241. Pre-hearing Conference

9242. Pre-hearing Submission

9250. Discovery

9251. Inspection and Copying of Documents in Possession of Staff

9252. Requests for Information

9253. Production of Witness Statements

9260. Hearing and Decision

9270. Settlement Procedure

9280. Contemptuous Conduct

9285. Interim Orders and Mandatory Heightened Supervision While on Appeal or on Discretionary Review

9290. Expedited Disciplinary Proceedings

9291. Permanent Cease and Desist Orders

9300. REVIEW OF DISCIPLINARY PROCEEDING BY NATIONAL ADJUDICATORY COUNCIL AND FINRA BOARD; APPLICATION FOR SEC REVIEW

9310. Appeal to or Review by National Adjudicatory Council

9311. Appeal by Any Party; Cross-Appeal

9312. Review Proceeding Initiated By Adjudicatory Council

9313. Counsel to National Adjudicatory Council

9320. Transmission of Record; Extensions of Time, Postponements, Adjournments

9321. Transmission of Record

9322. Extensions of Time, Postponements, Adjournments

9330. Appointment of Subcommittee or Extended Proceeding Committee; Disqualification and Recusal

9331. Appointment of Subcommittee or Extended Proceeding Committee

9332. Disqualification and Recusal

9340. Proceedings

9341. Oral Argument

9342. Failure to Appear at Oral Argument

9343. Disposition Without Oral Argument

9344. Failure to Participate Below; Abandonment of Appeal

9345. Subcommittee or Extended Proceeding Committee Recommended Decision to National Adjudicatory Council

9346. Evidence in National Adjudicatory Council Proceedings

9347. Filing of Papers in National Adjudicatory Council Proceedings

9348. Powers of the National Adjudicatory Council on Review

9349. National Adjudicatory Council Formal Consideration; Decision

9350. Discretionary Review by FINRA Board

9360. Effectiveness of Sanctions

9370. Application to SEC for Review

9500. OTHER PROCEEDINGS

9520. Eligibility Proceedings

9550. Expedited Proceedings

9551. Failure to Comply with Public Communication Standards

9552. Failure to Provide Information or Keep Information Current

9553. Failure to Pay FINRA Dues, Fees and Other Charges

9554. Failure to Comply with an Arbitration Award or Related Settlement or an Order of Restitution or Settlement Providing for Restitution

9555. Failure to Meet the Eligibility or Qualification Standards or Prerequisites for Access to Services

9556. Failure to Comply with Temporary and Permanent Cease and Desist Orders, or Orders that Impose Conditions or Restrictions

9557. Procedures for Regulating Activities Under Rules 4110, 4120 and 4130 Regarding a Member Experiencing Financial or Operational Difficulties

9558. Summary Proceedings for Actions Authorized by Section 15A(h)(3) of the Exchange Act

9559. Hearing Procedures for Expedited Proceedings Under the Rule 9550 Series

9561. Procedures for Regulating Activities Under Rule 4111

9600. PROCEDURES FOR EXEMPTIONS

9610. Application

9620. Decision

9630. Appeal

9700. PROCEDURES ON GRIEVANCES CONCERNING THE AUTOMATED SYSTEMS

9710. Purpose

9720. Form of Application

9730. Request for Hearing

9740. Consideration of Applications

9750. Decision

9760. Call for Review by the National Adjudicatory Council

9770. Application to SEC for Review

9800. TEMPORARY AND PERMANENT CEASE AND DESIST ORDERS

9900. RESTRICTIONS ON FORMER FINRA OFFICERS AND EMPLOYEES; NONPUBLIC INFORMATION

9910. Post-Employment Conflict of Interest Restrictions; Nonpublic Information

11000. UNIFORM PRACTICE CODE

11100. SCOPE OF UNIFORM PRACTICE CODE

11110. Committees

11111. Refusal to Abide by Rulings of the Committee

11112. Review by Panels of the UPC Committee

11120. Definitions

11121. Trade Date

11130. When, As and If Issued/Distributed Contracts

11140. Transactions in Securities "Ex-Dividend," "Ex-Rights" or "Ex-Warrants"

11150. Transactions "Ex-Interest" in Bonds Which Are Dealt in "Flat"

11160. "Ex" Liquidating Payments

11170. Transactions in "Part-Redeemed" Bonds

11190. Reconfirmation and Pricing Service Participants

11200. COMPARISONS OR CONFIRMATIONS AND "DON'T KNOW NOTICES"

11210. Sent by Each Party

11220. Description of Securities.

11300. DELIVERY OF SECURITIES

11310. Book-Entry Settlement

11320. Dates of Delivery

11330. Payment

11340. Stamp Taxes

11350. Part Delivery

11360. Units of Delivery

11361. Units of Delivery — Stocks

11362. Units of Delivery — Bonds

11363. Units of Delivery — Unit Investment Trust Securities

11364. Units of Delivery — Certificates of Deposit for Bonds

11365. Trading Securities As "Units" or Bonds "With Stock"

11400. DELIVERY OF SECURITIES WITH DRAFT ATTACHED

11410. Acceptance of Draft

11500. DELIVERY OF SECURITIES WITH RESTRICTIONS

11510. Delivery of Temporary Certificates

11520. Delivery of Mutilated Securities

11530. Delivery of Securities Called for Redemption or Which Are Deemed Worthless

11540. Delivery Under Government Regulations

11550. Assignments and Powers of Substitution; Delivery of Registered Securities

11560. Certificate of Company Whose Transfer Books Are Closed

11570. Certificates in Various Names

11571. Certificate in Name of Corporation

11572. Certificate in Name of Firm

11573. Certificate in Name of Dissolved Firm Succeeded by New Firm

11574. Certificate in Name of Deceased Person, Trustee, etc.

11580. Transfer of Limited Partnership Securities

11581. Limited Partnership Transfer Forms

11600. DELIVERY OF BONDS AND OTHER EVIDENCES OF INDEBTEDNESS

11610. Liability for Expenses

11620. Computation of Interest

11630. Due-Bills and Due-Bill Checks

11640. Claims for Dividends, Rights, Interest, etc.

11650. Transfer Fees

11700. RECLAMATIONS AND REJECTIONS

11710. General Provisions

11720. Irregular Delivery — Transfer Refused — Lost or Stolen Securities

11721. Obligations of Members Who Discover Securities in Their Possession to Which They Are Not Entitled

11730. Called Securities

11740. Marking to the Market

11800. CLOSE-OUT PROCEDURES

11810. Buy-In Procedures and Requirements

11820. Selling-Out

11830. Reserved.

11840. Rights and Warrants

11860. COD Orders

11870. Customer Account Transfer Contracts

11880. Settlement of Syndicate Accounts

11890. Clearly Erroneous Transactions

11891. General

11892. Clearly Erroneous Transactions in Exchange-Listed Securities

11893. Clearly Erroneous Transactions in OTC Equity Securities

11894. Review by the Uniform Practice Code (“UPC”) Committee

11900. Clearance of Corporate Debt Securities

12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES

PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION AND AUTHORITY

IM-12000. Failure to Act Under Provisions of Code of Arbitration Procedure for Customer Disputes

12100. Definitions

12101. Applicability of Code and Incorporation by Reference

12102. National Arbitration and Mediation Committee

12103. Director of FINRA Dispute Resolution Services

12104. Effect of Arbitration on FINRA Regulatory Activities; Arbitrator Referral During or at Conclusion of Case

12105. Agreement of the Parties

PART II GENERAL ARBITRATION RULES

12200. Arbitration Under an Arbitration Agreement or the Rules of FINRA

12201. Elective Arbitration

12202. Claims Against Inactive Members

12203. Denial of FINRA Forum

12204. Class Action Claims

12205. Shareholder Derivative Actions

12206. Time Limits

12207. Extension of Deadlines

12208. Representation of Parties

12209. Legal Proceedings

12210. Ex Parte Communications

12211. Direct Communication Between Parties and Arbitrators

12212. Sanctions

12213. Hearing Locations

12214. Payment of Arbitrators

PART III INITIATING AND RESPONDING TO CLAIMS

12300. Filing and Serving Documents

12301. Service on Associated Persons

12302. Filing and Serving an Initial Statement of Claim

12303. Answering the Statement of Claim

12304. Answering Counterclaims

12305. Answering Cross Claims

12306. Answering Third Party Claims

12307. Deficient Claims

12308. Loss of Defenses Due to Untimely or Incomplete Answer

12309. Amending Pleadings

12310. Answering Amended Claims

12311. Amendments to Amount in Dispute

12312. Multiple Claimants

12313. Multiple Respondents

12314. Combining Claims

PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS

12400. List Selection Algorithm and Arbitrator Rosters

12401. Number of Arbitrators

12402. Cases with One Arbitrator

12403. Cases with Three Arbitrators

12404. Additional Parties

12405. Disclosures Required of Arbitrators

12406. Arbitrator Recusal

12407. Removal of Arbitrator by Director

12408. Director's Discretionary Authority

12409. Jurisdiction of Panel and Authority to Interpret the Code

12410. Determinations of Arbitration Panel

PART V PREHEARING PROCEDURES AND DISCOVERY

12500. Initial Prehearing Conference

12501. Other Prehearing Conferences

12502. Recording Prehearing Conferences

12503. Motions

12504. Motions to Dismiss

12505. Cooperation of Parties in Discovery

12506. Document Production Lists

12507. Other Discovery Requests

12508. Objecting to Discovery; Waiver of Objection

12509. Motions to Compel Discovery

12510. Depositions

12511. Discovery Sanctions

12512. Subpoenas

12513. Authority of Panel to Direct Appearances of Associated Person Witnesses and Production of Documents Without Subpoenas

12514. Prehearing Exchange of Documents and Witness Lists, and Explained Decision Requests

PART VI HEARINGS; EVIDENCE; CLOSING THE RECORD

12600. Required Hearings

12601. Postponement of Hearings

12602. Attendance at Hearings

12603. Failure to Appear

12604. Evidence

12605. Witness Oath

12606. Record of Proceedings

12607. Order of Presentation of Evidence and Arguments

12608. Closing the Record

12609. Reopening the Record

PART VII TERMINATION OF AN ARBITRATION BEFORE AWARD

12700. Dismissal of Proceedings Prior to Award

12701. Settlement

12702. Withdrawal of Claims

PART VIII SIMPLIFIED ARBITRATION, ACCELERATED PROCESSING, DEFAULT PROCEEDINGS, AND EXPUNGEMENT PROCEEDINGS

12800. Simplified Arbitration

12801. Default Proceedings

12805. Expungement of Customer Dispute Information from the Central Registration Depository (CRD) System

12808. Accelerated Processing

PART IX FEES AND AWARDS

12900. Fees Due When a Claim Is Filed

12901. Member Surcharge

12902. Hearing Session Fees, and Other Costs and Expenses

12903. Process Fees Paid by Members

12904. Awards

12905. Submissions After a Case Has Closed

13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES

PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION AND AUTHORITY

IM-13000. Failure to Act Under Provisions of Code of Arbitration Procedure for Industry Disputes

13100. Definitions

13101. Applicability of Code and Incorporation by Reference

13102. National Arbitration and Mediation Committee

13103. Director of FINRA Dispute Resolution Services

13104. Effect of Arbitration on FINRA Regulatory Activities; Arbitrator Referral During or at Conclusion of Case

13105. Agreement of the Parties

PART II GENERAL ARBITRATION RULES

13200. Required Arbitration

13201. Statutory Employment Discrimination Claims, Disputes Arising Under a Whistleblower Statute that Prohibits the Use of Predispute Arbitration Agreements, Sexual Assault Claims, and Sexual Harassment Claims

13202. Claims Involving Registered Clearing Agencies

13203. Denial of FINRA Forum

13204. Class Action and Collective Action Claims

13205. Shareholder Derivative Actions

13206. Time Limits

13207. Extension of Deadlines

13208. Representation of Parties

13209. Legal Proceedings

13210. Ex Parte Communications

13211. Direct Communication Between Parties and Arbitrators

13212. Sanctions

13213. Hearing Locations

13214. Payment of Arbitrators

PART III INITIATING AND RESPONDING TO CLAIMS

13300. Filing and Serving Documents

13301. Service on Associated Persons

13302. Filing and Serving an Initial Statement of Claim

13303. Answering the Statement of Claim

13304. Answering Counterclaims

13305. Answering Cross Claims

13306. Answering Third Party Claims

13307. Deficient Claims

13308. Loss of Defenses Due to Untimely or Incomplete Answer

13309. Amending Pleadings

13310. Answering Amended Claims

13311. Amendments to Amount in Dispute

13312. Multiple Claimants

13313. Multiple Respondents

13314. Combining Claims

PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS

13400.List Selection Algorithm and Arbitrator Rosters

13401. Number of Arbitrators

13402. Composition of Arbitration Panels in Cases Not Involving a Claim of Sexual Assault, Sexual Harassment, or Statutory Employment Discrimination

13403. Generating and Sending Lists to the Parties

13404. Striking and Ranking Arbitrators

13405. Combining Lists

13406. Appointment of Arbitrators; Discretion to Appoint Arbitrators Not on List

13407. Additional Parties

13408. Disclosures Required of Arbitrators

13409. Arbitrator Recusal

13410. Removal of Arbitrator by Director

13411. Replacement of Arbitrators

13412. Director's Discretionary Authority

13413. Jurisdiction of Panel and Authority to Interpret the Code

13414. Determinations of Arbitration Panel

PART V PREHEARING PROCEDURES AND DISCOVERY

13500. Initial Prehearing Conference

13501. Other Prehearing Conferences

13502. Recording Prehearing Conferences

13503. Motions

13504. Motions to Dismiss

13505. Cooperation of Parties in Discovery

13506. Discovery Requests

13507. Responding to Discovery Requests

13508. Objecting to Discovery Requests; Waiver of Objection

13509. Motions to Compel Discovery

13510. Depositions

13511. Discovery Sanctions

13512. Subpoenas

13513. Authority of Panel to Direct Appearances of Associated Person Witnesses and Production of Documents Without Subpoenas

13514. Prehearing Exchange of Documents and Witness Lists, and Explained Decision Requests

PART VI HEARINGS; EVIDENCE; CLOSING THE RECORD

13600. Required Hearings

13601. Postponement of Hearings

13602. Attendance at Hearings

13603. Failure to Appear

13604. Evidence

13605. Witness Oath

13606. Record of Proceedings

13607. Order of Presentation of Evidence and Arguments

13608. Closing the Record

13609. Reopening the Record

PART VII TERMINATION OF AN ARBITRATION BEFORE AWARD

13700. Dismissal of Proceedings Prior to Award

13701. Settlement

13702. Withdrawal of Claims

PART VIII SIMPLIFIED ARBITRATION; DEFAULT PROCEEDINGS; SEXUAL ASSAULT CLAIMS, SEXUAL HARASSMENT CLAIMS, OR STATUTORY EMPLOYMENT DISCRIMINATION CLAIMS; INJUNCTIVE RELIEF; EXPUNGEMENT PROCEEDINGS; PROMISSORY NOTE PROCEEDINGS; AND ACCELERATED PROCESSING

13800. Simplified Arbitration

13801. Default Proceedings

13802. Sexual Assault Claims, Sexual Harassment Claims, or Statutory Employment Discrimination Claims

13803. Coordination of Sexual Assault Claims, Sexual Harassment Claims or Statutory Employment Discrimination Claims Filed in Court and in Arbitration

13804. Temporary Injunctive Orders; Requests for Permanent Injunctive Relief

13805. Expungement of Customer Dispute Information from the Central Registration Depository (CRD) System

13806. Panel to Decide Requests for Expungement of Customer Dispute Information Filed by an Associated Person under Rule 13805

13807. Promissory Note Proceedings

13808. Accelerated Processing

PART IX FEES AND AWARDS

13900. Fees Due When a Claim Is Filed

13901. Member Surcharge

13902. Hearing Session Fees, and Other Costs and Expenses

13903. Process Fees Paid by Members

13904. Awards

13905. Submissions After a Case Has Closed

14000. CODE OF MEDIATION PROCEDURE

14100. Definitions

14101. Applicability of Code

14102. National Arbitration and Mediation Committee

14103. Director of Mediation

14104. Mediation under the Code

14105. Effect of Mediation on Arbitration Proceedings

14106. Representation of Parties

14107. Mediator Selection

14108. Limitation on Liability

14109. Mediation Ground Rules

14110. Mediation Fees

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