(a) Applicability of Code
The Code applies to any dispute between a customer and a member or associated person of a member that is submitted to arbitration under Rule 12200 or 12201.
(b) Incorporation by Reference
When a dispute is submitted to arbitration under the Code pursuant to an arbitration agreement, the Code is incorporated by reference into the agreement.
Amended
(a) Applicability of Code
The Code applies to any dispute that is submitted to arbitration under the Code pursuant to Rules 13200, 13201, or 13202.
(b) Incorporation by Reference
When a dispute is submitted to arbitration under the Code pursuant to an arbitration agreement, the Code is incorporated by reference into the agreement.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by
The Commodity Futures Modernization Act of 2000 (CFMA) lifted the ban on the trading of futures on single securities and on narrow-based security indices (security futures). Security futures are regulated both as securities and as future contracts, and must be traded on trading facilities and through intermediaries registered with both the SEC and CFTC.
Security futures involve a high
FINRA has been actively monitoring financial technology-related (FinTech) developments in the securities industry.
The present name of the corporation is Financial Industry Regulatory Authority, Inc. (the "Corporation"). The Corporation was originally incorporated as a nonstock corporation under the name of Investment Bankers Conference, Inc., and its original Certificate of Incorporation was filed with the Secretary of State of the State of Delaware on September 3, 1936. This Restated
SEC Approval and Effective Date for New Consolidated FINRA Rules
This rule is no longer applicable.
The term "branch office manager" means a registered representative in charge of a branch office.
This rule is no longer applicable. Incorporated NYSE Rules have been superseded by Temporary Dual FINRA-NYSE member Rule Series. Please consult the appropriate FINRA Rule.
The term "delivery" means the delivery of securities on Exchange contracts, unless otherwise stated.
This rule is no longer applicable. Incorporated NYSE Rules have been superseded by Temporary Dual FINRA-NYSE member Rule Series. Please consult the appropriate FINRA Rule.
The term "Floor" means the trading Floor of the Exchange and the premises immediately adjacent thereto, such as the various entrances and lobbies of the 11 Wall Street, 18 New Street, 8 Broad Street, 12 Broad Street
