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SR-FINRA-2019-018
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to make technical and other non-substantive changes within FINRA rules.
Schedule A to the FINRA Sanction Guidelines [Version up to May. 1, 2018]
Violations That Generally Are Not Subject to Censure When Monetary Sanctions of $7,000 or Less Are Imposed Quality of Markets Violations •   ACT Violations—FINRA Rules 7210A–7280A, 7310–7380 and 7110B–7170B •   Backing Away •   Best Execution and Interpositioning •   Confirmation of Transactions (SEC
XI. Supervision [Version up to May. 1, 2018]
•   Disqualified Persons—Failure to Discharge Supervisory Obligations •   Supervision—Failure to Comply With Taping Rule Requirements •   Supervision—Failure to Supervise •   Supervisory Procedures—Deficient Written Supervisory Procedures Disqualified Persons—Failure to Discharge Supervisory Obligations
X. Sales Practices [Version up to May. 1, 2018]
•   Churning or Excessive Trading •   Communications With the Public—Late Filing; Failing to File; Failing to Comply With Rule Standards or Use of Misleading Communications •   Customer Account Transfer Contracts—Failure to Comply With Rule Requirements •   Day-Trading Accounts—Failure to Comply With Risk
IX. Reporting/Provision of Information [Version up to May. 1, 2018]
•   FOCUS Reports—Late Filing; Failing to File; Filing False or Misleading Reports •   Forms U4/U5—Late Filing of Forms or Amendments; Failing to File Forms or Amendments; Filing of False, Misleading or Inaccurate Forms or Amendments •   MSRB Rule G-36 (Timely Filing of Offering Documents With the MSRB)—Late Filing and Failing to
VIII. Quality of Markets [Version up to May. 1, 2018]
•   Extended Hours Trading Risk Disclosure—Failure to Comply With Rule Requirements •   Anti-Intimidation/Coordination—Failure to Comply With Rule Requirements •   Backing Away •   Best Execution—Failure to Comply With Requirements for Best Execution •   ECN Display Rule—Failure to Comply
VII. Qualification and Membership [Version up to May. 1, 2018]
•   Branch Offices—Failure to Register •   Cheating, Using an Impostor, or Possessing Unauthorized Materials in Qualifications Examinations or in the Regulatory Element of Continuing Education •   Continuing Education (Firm Element)—Failure to Comply With Rule Requirements •   Continuing Education (Regulatory
VI. Improper Use of Funds/Forgery [Version up to May. 1, 2018]
•   Conversion or Improper Use of Funds or Securities •   Forgery and/or Falsification of Records Conversion or Improper Use of Funds or Securities FINRA Rules 2010 and 21501, and NASD Rule 2330 and IM-2330 Principal Considerations in Determining Sanctions Monetary Sanction Suspension, Bar or Other Sanctions
V. Impeding Regulatory Investigations [Version up to May. 1, 2018]
•   Confidentiality Agreements—Settling With Customer in Exchange for Customer Agreement Not to Cooperate With Regulatory Authorities •   Failure to Respond, Failure to Respond Truthfully or in a Timely Manner, or Providing a Partial but Incomplete Response to Requests Made Pursuant to FINRA Rule 8210 •   Settling Customer Complaints
IV. Financial and Operational Practices [Version up to May. 1, 2018]
•   Customer Confirmations—Failure to Comply With Rule Requirements •   Customer Protection Rule—Failure to Comply With Rule Requirements •   Net Capital Violations •   Recordkeeping Violations •   Regulation T and Margin Requirements—Violations of Regulation T and/or FINRA Margin