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Rule
Immediately Effective Rule Changes Pending Issuance of a Regulatory Notice
Immediately Effective Rule Changes Pending Issuance of a Regulatory Notice
Rule
Rule
III. FINRA CAT, LLC
Delegation of Functions and Authority:
A. Subject to Section I.B.9., FINRA hereby delegates to FINRA CAT and FINRA CAT assumes the following responsibilities and functions as a registered securities association:
1. To act as a Plan Processor in accordance with Rule 613 of SEC Regulation NMS and the provisions of the CAT NMS Plan.
2. To create, operate and maintain the consolidated audit trail ("CAT")…
Rule
Schedule A to the FINRA Sanction Guidelines [Version up to May. 1, 2018]
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Violations That Generally Are Not Subject to Censure When Monetary Sanctions of $7,000 or Less Are Imposed
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<strong>Quality of Markets Violations</strong>
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•   ACT Violations—FINRA Rules <ref book="2403" rule=…
Rule
XI. Supervision [Version up to May. 1, 2018]
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•   Disqualified Persons—Failure to Discharge Supervisory Obligations
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•   Supervision—Failure to Comply With Taping Rule Requirements
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•  …
Rule
X. Sales Practices [Version up to May. 1, 2018]
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•   Churning or Excessive Trading
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•   Communications With the Public—Late Filing; Failing to File; Failing to Comply With Rule Standards or Use of Misleading Communications
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Rule
IX. Reporting/Provision of Information [Version up to May. 1, 2018]
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•   FOCUS Reports—Late Filing; Failing to File; Filing False or Misleading Reports
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•   Forms U4/U5—Late Filing of Forms or Amendments; Failing to File Forms or Amendments; Filing of False,…
Rule
VIII. Quality of Markets [Version up to May. 1, 2018]
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•   Extended Hours Trading Risk Disclosure—Failure to Comply With Rule Requirements
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•   Anti-Intimidation/Coordination—Failure to Comply With Rule Requirements
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Rule
VII. Qualification and Membership [Version up to May. 1, 2018]
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•   Branch Offices—Failure to Register
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•   Cheating, Using an Impostor, or Possessing Unauthorized Materials in Qualifications Examinations or in the Regulatory Element of Continuing Education
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Rule
VI. Improper Use of Funds/Forgery [Version up to May. 1, 2018]
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•   Conversion or Improper Use of Funds or Securities
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•   Forgery and/or Falsification of Records
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<strong>Conversion or Improper Use of Funds or Securities</strong>
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<p…
Rule
V. Impeding Regulatory Investigations [Version up to May. 1, 2018]
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•   Confidentiality Agreements—Settling With Customer in Exchange for Customer Agreement Not to Cooperate With Regulatory Authorities
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•   Failure to Respond, Failure to Respond Truthfully or in a Timely Manner…