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1010. Electronic Filing Requirements for Uniform Forms
(a) Filing Requirement Except as provided in Rule 1013(a)(2), all forms required to be filed by Article IV, Sections 1, 7, and 8, and Article V, Sections 2 and 3, of the FINRA By-Laws shall be filed through an electronic process or such other process FINRA may prescribe to the Central Registration Depository. (b) Supervisory Requirements (1) In order to comply with the supervisory procedures
Sanction Guidelines [Version up to May. 1, 2018]
Index [Version up to February 28, 2019]
Anti-Intimidation/Coordination—Failure to Comply With Rule Requirements 48 Backing Away 49 Best Execution—Failure to Comply With Requirements for Best Execution 50 Branch Offices—Failure to Register 39 Cheating, Using an Impostor,
XI. Supervision [Version up to February 28, 2019]
•  Disqualified Persons—Failure to Discharge Supervisory Obligations •  Supervision—Failure to Comply With Taping Rule Requirements •  Supervision—Failure to Supervise •  Supervision—Systemic Supervisory Failures •  Supervisory Procedures—Deficient Written Supervisory Procedures
X. Sales Practices [Version up to February 28, 2019]
•  Borrowing From or Lending to Customers—Failure to Comply With Rule Requirements •  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
IX. Reporting/Provision of Information [Version up to February 28, 2019]
•  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-37 Reporting—Late Filing; Failing to File; Filing False or Misleading Reports •
VIII. Quality of Markets [Version up to February 28, 2019]
•   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 February 28, 2019]
•  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 February 28, 2019]
•  Conversion or Improper Use of Funds or Securities •  Forgery, Unauthorized Use of Signatures or Falsification of Records Conversion or Improper Use of Funds or Securities FINRA Rules 2010 and 21501 Principal Considerations in Determining Sanctions Monetary Sanction Suspension, Bar or Other
V. Impeding Regulatory Investigations [Version up to February 28, 2019]
•  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