(a) General Standards
(1) FINRA shall release to the public a copy of, and at FINRA's discretion information with respect to, any disciplinary complaint or disciplinary decision issued by FINRA, as defined in paragraph (e) of this Rule. FINRA shall, in response to a request, release to the requesting party a copy of any identified disciplinary complaint or disciplinary decision issued by
(a) If a person is subject to a suspension, revocation, cancellation of registration, bar from association with a member (each a "sanction") or other disqualification, a member shall not allow such person to be associated with it in any capacity that is inconsistent with the sanction imposed or disqualified status, including a clerical or ministerial capacity. A member also shall not
(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
Each member shall submit trade data specified in Rule 8211 in automated format as may be prescribed by FINRA from time to time with respect to any transaction or transactions involving non-exchange-listed securities as defined in the Rule 6400 Series that are the subject of a request for information made by FINRA. Pursuant to the Rule 9600 Series, FINRA may exempt a member from the requirement
(a) A member shall submit the trade data specified below in automated format as may be prescribed by FINRA from time to time. This information shall be supplied with respect to any transaction or transactions that are the subject of a request for information made by FINRA.
(b) If the transaction was a proprietary transaction effected or caused to be effected by the member for any account in
(a) Unless otherwise provided, terms used in the Rule 8000 Series shall have the meaning as defined in Rule 0160.
(b) The term "Adjudicator" shall have the meaning as defined in Rule 9120.
Amended by SR-FINRA-2012-007 eff. Feb. 21, 2012.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Amended by SR-NASD-97-28 eff. Aug. 7, 1997.
Amended by SR-NASD-95-39
Members shall make available a current copy of the FINRA Manual for examination by customers upon request. Members may comply with this Rule by maintaining electronic access to the FINRA Manual and providing customers with such access upon request.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Amended by SR-NASD-97-81 eff. Jan. 16, 1998.
Amended by SR-NASD-97-28 eff.
