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Displaying 1 - 10 of 1378 Results
Rule
6760. Obligation To Provide Notice and Dissemination of Corporate Debt Security New Issue Reference Data
(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,…
Rule
6710. Definitions
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 "…
Rule
2232. Customer Confirmations
(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…
Rule
SR-FINRA-2019-008
Recently Approved Rule Changes Pending Determination of Effective Date
Rule
Rules
FINRA 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,…
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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