Each capital acquisition broker must designate and specifically identify to FINRA on Schedule A of Form BD one or more principals to serve as a chief compliance officer.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.
Selected Notice: 16-37.
EBS Submissions Following Implementation of the Option Symbology Initiative
If you are of a certain generation, you probably remember watching the Schoolhouse Rock! videos and can still remember the words to “Lolly, Lolly, Lolly, Get Your Adverbs Here.” My favorite was “I’m Just a Bill,” because in just over three minutes, it explained the entire legislative process in easy to understand terms. Since becoming Head of FINRA Enforcement, it has become clear to me that,
The purchaser shall be required to accept a part delivery on any contract due provided the portion remaining undelivered is not an amount which includes an odd-lot which was not a part of the original transaction.
Amended by SR-FINRA-2010-030 eff. Dec. 15, 2010.
Amended eff. Jan. 1, 1973.Selected Notice: 10-49.
A person who is subject to the jurisdiction of FINRA shall testify under oath or affirmation. The oath or affirmation shall be administered by a court reporter or a notary public.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-97-28 eff. Aug. 7, 1997.Selected Notice: 08-57.
The panel has the authority to interpret and determine the applicability of all provisions under the Code. Such interpretations are final and binding upon the parties.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-2004-011 eff. April 16, 2007.Selected Notices: 07-07, 08-57.
Charges, if any, for services performed, including, but not limited to, miscellaneous services such as collection of monies due for principal, dividends, or interest; exchange or transfer of securities; appraisals, safe-keeping or custody of securities, and other services shall be reasonable and not unfairly discriminatory among customers.
Amended by SR-FINRA-2014-049
The Director may exercise discretionary authority and make any decision that is consistent with the purposes of the Code to facilitate the appointment of arbitrators and the resolution of arbitrations.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-2004-011 eff. April 16, 2007.Selected Notices: 07-07, 08-57.
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.
If an amended pleading increases the amount in dispute, all filing fees, surcharges and process fees required by the Code will be recalculated based on the new amount in dispute.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-2003-158 eff. April 16, 2007.Selected Notice: 07-07, 08-57.
