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Displaying 121 - 130 of 11074 Results
Rule
FINRA members that trade securities listed on the NYSE ("Tape A"), Amex and regional exchanges ("Tape B"), or Nasdaq ("Tape C") in over-the-counter transactions reported to the FINRA/Nasdaq Trade Reporting Facility may receive from the FINRA/Nasdaq Trade Reporting Facility transaction credits based on the transactions attributed to them. A transaction is attributed to a member if the member is identified as the executing party in a trade report submitted to the…
Rule
(a) Members Required to Provide Notice
(1) To facilitate trade reporting and dissemination of transactions in TRACE-Eligible Securities and to provide market participants in the Corporate Debt Security markets with reliable and timely new issue reference data to facilitate the trading and settlement of these instruments, a member that is a managing underwriter of a distribution or offering ("offering"), other than a secondary offering, of a TRACE-Eligible…
Rule
The terms used in this Rule 6700 Series shall have the same meaning as those defined in the FINRA By-Laws and rules unless otherwise specified. For the purposes of this Rule 6700 Series, the following terms have the following meaning:
(a) "TRACE-Eligible Security" means a debt security that is United States ("U.S.") dollar-denominated and is: (1) issued by a U.S. or foreign private issuer, and, if a "restricted security" as defined in Securities Act Rule…
Rule
(a) A member shall, at or before the completion of any transaction in any security effected for or with an account of a customer, give or send to such customer written notification ("confirmation") in conformity with the requirements of SEA Rule 10b-10.
(b) A confirmation given or sent pursuant to this Rule shall further disclose:
(1) with respect to any transaction in any NMS stock, as defined in Rule 600 of SEC Regulation NMS, or any security…
Rules
(a) Quid Pro Quo Allocations
No member or person associated with a member may offer or threaten to withhold shares it allocates of a new issue as consideration or inducement for the receipt of compensation that is excessive in relation to the services provided by the member.
(b) Spinning
(1) No member or person associated with a member may allocate shares of a new issue to any account in which an executive officer or director of a…
Rule
(a) General Prohibitions
(1) A member or a person associated with a member may not sell, or cause to be sold, a new issue to any account in which a restricted person has a beneficial interest, except as otherwise permitted herein.
(2) A member or a person associated with a member may not purchase a new issue in any account in which such member or person associated with a member has a beneficial interest, except as otherwise permitted herein.…
Rules
(a) Procedures for Reviewing Transactions
(1) An Executive Vice President of FINRA's Market Regulation Department or Transparency Services Department, or any officer designated by such Executive Vice President (FINRA officer), may, on his or her own motion, review any over-the-counter transaction involving an exchange-listed security arising out of or reported through a trade reporting system owned or operated by FINRA or FINRA Regulation and authorized by the…
Rule
Each participant will be charged a monthly fee for use of the FINRA/NYSE Trade Reporting Facility. The rate will be based on the participant’s “FINRA/NYSE TRF Market Share,” which is defined as the percentage calculated by dividing the total number of shares reported to the FINRA/NYSE Trade Reporting Facility for public dissemination (or “tape”) purposes during a given calendar month that are attributable to the participant by the total number of all shares…
Rules
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0100. General Standards
0110. Adoption of Rules
0120. Effective Date
0130. Interpretation
0140. Applicability
0150. Application of Rules to Exempted Securities Except Municipal Securities
0151. Coordination with the MSRB
0160. Definitions
0170. Delegation, Authority and Access
0180. Application of Rules to Security-Based Swaps
0190. Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation…