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.
(a) A member shall be considered as a non-member of FINRA from the effective date of any order or notice from FINRA or the SEC issuing a revocation, cancellation, expulsion or suspension of its membership. In the case of suspension, a member shall be automatically reinstated to membership in FINRA at the termination of the suspension period.
(b) A member shall be considered as a non-member
(a) For purposes of this Rule, the terms "exempted securities" and "municipal securities" shall have the meanings specified in Sections 3(a)(12) and 3(a)(29) of the Exchange Act, respectively.
(b) The Rules are not intended to be, and shall not be construed as, rules concerning transactions in municipal securities.
(c) Unless otherwise indicated within a particular Rule, the
The Rules are adopted pursuant to Article VII, Section 1, of the FINRA By-Laws.
Amended by SR-FINRA-2008-026 eff. Dec. 15, 2008.Selected Notice: 08-57.
This rule is no longer applicable. Incorporated NYSE Rule Interpretations have been superseded by Temporary Dual FINRA-NYSE member Rule Series. Please consult the appropriate FINRA Rule.
/01 Responsibility of Personnel
Rule 435, which prohibits the circulation of rumors, extends personal responsibility for its observation to all member organization personnel. Those who service accounts, those
This rule is no longer applicable. Incorporated NYSE Rules have been superseded by Temporary Dual FINRA-NYSE member Rule Series.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.
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 (
