(a) Definition of Bond Mutual Fund Volatility Ratings
For purposes of this Rule and any interpretation thereof, the term "bond mutual fund volatility rating" is a description issued by an independent third party relating to the sensitivity of the net asset value of a portfolio of an open-end management investment company that invests in debt securities to changes in market
(a) Definition of "Ranking Entity"
For purposes of this Rule, the term "Ranking Entity" refers to any entity that provides general information about investment companies to the public, that is independent of the investment company and its affiliates, and whose services are not procured by the investment company or any of its affiliates to assign the investment company a
A member who in the capacity of paying agent, transfer agent, trustee, or in any other similar capacity, has received information as to the ownership of securities, shall under no circumstances make use of such information for the purpose of soliciting purchases, sales or exchanges except at the request and on behalf of the issuer.
Cross Reference–Rule 2150. Improper Use of Customers'
No member shall effect any transaction in, or induce the purchase or sale of, any security by means of any manipulative, deceptive or other fraudulent device or contrivance.
Cross References–
2111, Suitability5210, Publication of Transactions and Quotations
Amended by SR-FINRA-2008-028 eff. Dec. 15, 2008.Selected Notice: 08-57.
No member or person associated with a member shall file with FINRA information with respect to membership or registration which is incomplete or inaccurate so as to be misleading, or which could in any way tend to mislead, or fail to correct such filing after notice thereof.
Amended by SR-FINRA-2009-009 eff. Aug. 17, 2009.Selected Notice: 09-33.
/01 Responsibility of Personnel
Rule 435(5)T, which prohibits the circulation of rumors, extends personal responsibility for its observation to all member organization personnel. Those who service accounts, those who are handling the member organization's long distance wires and those on the trading desks must in particular exercise a high degree of individual responsibility as their
Unless the context requires otherwise, the terms defined in Exchange Rules shall, for all purposes of the Exchange Rules, have the meanings therein specified.
Amended:
February 27, 2006, effective March 8, 2006 (NYSE-2005-77).
Amended by SR-FINRA-2019-009 eff. May 8, 2019.
This Rule applies to all requests to expunge customer dispute information from the CRD system, except that when a party requests expungement of customer dispute information during a simplified arbitration pursuant to Rule 12800(d), only those sections of this Rule that are specifically referenced in Rule 12800(d) through (f) shall apply. Except as otherwise provided in this Rule, all other
This Rule applies to all requests to expunge customer dispute information from the CRD system. Except as otherwise provided in this Rule, all provisions of the Code apply to such expungement requests.
(a) Filing an Expungement Request against a Member Firm
(1) Applicability
An associated person may request expungement of customer dispute information from the CRD system by filing a statement of
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Table of Contents
PART I INTERPRETIVE MATERIAL, DEFINITIONS,
