A member who in the capacity of paying agent, transfer agent, trustee, or in any other similar capacity, has received information as to the ownership of securities, shall under no circumstances make use of such information for the purpose of soliciting purchases, sales or exchanges except at the request and on behalf of the issuer.
Cross Reference–Rule 2150. Improper Use of Customers'
A person aggrieved by final action of FINRA under the Rule 1000 Series may apply for review by the SEC pursuant to Section 19(d)(2) of the Exchange Act. The filing of an application for review shall not stay the effectiveness of a decision constituting final action of FINRA, unless the SEC otherwise orders.
Amended by SR-FINRA-2019-009 eff. May 8, 2019.
Amended by SR-FINRA-2008-008 eff. June
FINRA may, upon notice, terminate TRACE service to a member in the event that a member fails to abide by any of the rules or operating procedures of the TRACE service or FINRA, or fails to honor contractual agreements entered into with FINRA or FINRA Regulation, or fails to pay promptly for services rendered by the TRACE service.
Amended by SR-FINRA-2015-034 eff. Dec. 20, 2015.
Amended by SR-
If an oral argument is not held, the matter shall be considered by a Subcommittee or, if applicable, an Extended Proceeding Committee, on the basis of the record, as defined in Rule 9267, and supplemented by any written materials submitted to or issued by the Subcommittee or, if applicable, the Extended Proceeding Committee, or the National Adjudicatory Council in connection with the appeal,
An attorney for a Party or other person authorized to represent others by Rule 9141seeking to withdraw his or her appearance shall file a motion to withdraw. The motion shall set forth the good cause for withdrawal and state the name, current address, and telephone number of the Party no longer being represented.
Amended by SR-FINRA-2011-044 eff. Mar. 30, 2012.
Amended by SR-
(a) Prehearing conferences will not be recorded unless the panel determines otherwise, either on its own initiative or upon motion of a party.
(b) If a prehearing conference is recorded, it may be recorded using any of the methods discussed under Rule 13606. The Director will provide a copy of the recording to any party upon request.
Amended by SR-FINRA-2016-029 eff. April 3, 2017
(a) Prehearing conferences will not be recorded unless the panel determines otherwise, either on its own initiative or upon motion of a party.
(b) If a prehearing conference is recorded, it may be recorded using any of the methods discussed under Rule 12606. The Director will provide a copy of the recording to any party upon request.
Amended by SR-FINRA-2016-029 eff. April 3, 2017
(a) The Board shall appoint a Director of Mediation to administer mediations under the Code. The Director will consult with the NAMC on the administration of mediations, as necessary.
(b) The Director may delegate his or her duties when appropriate, unless the Code provides otherwise.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Renumbered from Rule 10404 and amended by SR-NASD-
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
Permissible activities of a Series 11 Representative (Assistant Representative/Order Processing).<br/>
