The FINRA Board, the National Adjudicatory Council, a Hearing Officer, or any other Adjudicator shall have full authority, except as otherwise provided by the Code, to rule on a procedural motion and any other procedural or administrative matter arising during the course of a proceeding conducted pursuant to the Code, subject to the rights of review or appeal provided by the Code.
(a) Imposition of Sanction
After compliance with the Rule 9000 Series, FINRA may impose one or more of the following sanctions on a member or person associated with a member for each violation of the federal securities laws, rules or regulations thereunder, the rules of the Municipal Securities Rulemaking Board, or FINRA rules, or may impose one or more of the following sanctions on a
Failure of a Participant or person associated with a Participant to comply with any of the rules or requirements of the System may be considered conduct inconsistent with high standards of commercial honor and just and equitable principles of trade, in violation of Rule 2010.
Amended by SR-FINRA-2008-057 eff. date Dec. 15, 2008.
Adopted by SR-FINRA-2008-021 eff. date Dec. 15, 2008.Selected
(a) The Rules shall not apply to members' activities and positions with respect to security-based swaps, except for the following:
(1) FINRA Rule 2010;
(2) FINRA Rule 2020;
(3) FINRA Rule 3310; and
(4) FINRA Rule 4240.
(b) The following Rules shall apply to members' activities and positions with respect to security-based swaps only to the extent they would have applied as of July
