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Rule
All capital acquisition brokers are subject to FINRA Rule 4111 Adopted by by SRFINRA2020041 eff Jan 1 2022 Selected Notice 2134 Capital Acquisition Broker Rules 412 Rule
Rule
A member interdealer quotation system whether or not also an alternative trading system or ATS as defined by Rule 300a of SEC Regulation ATS that permits quotation updates on a realtime basis in OTC Equity Securities must comply with the following requirements a The member interdealer quotation system must establish maintain and enforce written policies and procedures relating to the collection and dissemination of quotation information in OTC Equity Securities on or through its system Such…
Rule
NYSE and NYSE American LLC member organizations that become members of FINRA pursuant to IM10131 and IM10132 respectively shall not be assessed the fee set forth in Section 4b1 to Schedule A of the FINRA ByLaws for the initial Form U4 filed by firms for the registration of any representative or principal associated with the member organization at the time a firm submits its application for FINRA membership Such firms also shall not be assessed the membership application fee set forth in Section…
Rule
9285. Interim Orders and Mandatory Heightened Supervision While on Appeal or on Discretionary Review
a Conditions and Restrictions 1 Motion for Conditions or Restrictions Unless otherwise ordered by a Hearing Officer within 10 days after service of a notice of appeal from or the notice of a call for review of a decision issued pursuant to Rule 9268 or Rule 9269 in which the Hearing Panel or if applicable the Extended Hearing Panel or the Hearing Officer finds that a Respondent violated a statute or rule provision the Department of Enforcement may file a motion for the imposition of conditions…
Rule
The safe harbor for business expansions in IM10111 is not available to any member that is seeking to add a natural person who has in the prior five years one or more final criminal matters or two or more specified risk events and seeks to become an owner control person principal or registered person of the member in such circumstances if the member is not otherwise required to file a Form CMA in accordance with Rule 1017 the member must comply with the requirements of Rule 1017a7 Adopted by…
Rule
a Obligations of the Registered Person 1 A registered person shall decline being named a beneficiary of a customers estate or receiving a bequest from a customers estate upon learning of such status unless one of the following conditions is satisfied A The customer is a member of the registered persons immediate family or B Upon learning of such status the registered person provides written notice describing the proposed status to the member with which the registered person is associated in…
Rule
a Requirements for Public Offerings 1 General A No member or person associated with a member shall participate in a public offering in which the terms and conditions relating thereto including the aggregate amount of underwriting compensation are unfair or unreasonable pursuant to this Rule or inconsistent with any ByLaw or any rule or regulation of FINRA B Any member acting as a managing underwriter or in a similar capacity must notify the other members participating in the public offering if…
Rule
a Application This Rule shall apply exclusively to the activities of members in connection with the securities of companies registered under the Investment Company Act provided however that Rule 2320 shall apply in lieu of this Rule to members activities in connection with variable contracts as defined therein b Definitions 1 The terms affiliated member compensation cash compensation noncash compensation and offeror as used in paragraph l of this Rule shall have the following meanings A…
Rule
a Application This Rule shall apply exclusively and in lieu of Rule 2341 to the activities of members in connection with variable contracts to the extent such activities are subject to regulation under the federal securities laws b Definitions 1 The term purchase payment as used throughout this Rule shall mean the consideration paid at the time of each purchase or installment for or under the variable contract 2 The term variable contracts shall mean contracts providing for benefits or values…
Rule
a A member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customers investment profile A customers investment profile includes but is not limited to the customers age other investments financial situation and needs tax status investment…