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Displaying 1431 - 1438 of 1438 Results
Rule
The Rules are adopted pursuant to Article VII, Section 1, of the FINRA By-Laws.
Amended by SR-FINRA-2008-026 eff. Dec. 15, 2008.Selected Notice: 08-57.
FINRA Rules - 0110.
FINRA Rules
0110.
Notices - 08-57
Rule
Rule
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0100. General Standards
1000. Member Application and Associated Person Registration
2000. Duties and Conflicts
3000. Supervision and Responsibilities Relating to Associated Persons
4000. Financial and Operational Rules
5000. Securities Offering and Trading Standards and Practices
6000. Quotation, Order, and Transaction Reporting Facilities
7000. Clearing, Transaction and Order Data Requirements, and Facility Charges
8000.…
Rule
(a) Events Requiring Application
A member shall file an application for approval of any of the following changes to its ownership, control, or business operations:
(1) a merger of the member with another member, unless both are members of the New York Stock Exchange, Inc. or the surviving entity will continue to be a member of the New York Stock Exchange, Inc.;
(2) a direct or indirect acquisition by the member of another member, unless the acquiring member is a…
Rule
This interpretive material concerns the types of business expansions that will not require a member to submit a Rule 1017 application to obtain FINRA's approval of the expansion. This safe harbor applies to: (1) firms that do not have a membership agreement, and (2) firms that have a membership agreement that does not contain a restriction on the factors listed below.
The safe harbor is not available to a member that has a membership agreement that contains a…
Rule
NYSE and NYSE American LLC member organizations that become members of FINRA pursuant to IM-1013-1 and IM-1013-2, respectively, shall not be assessed the fee set forth in Section 4(b)(1) to Schedule A of the FINRA By-Laws 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…
Rule
(a) Definitions
(1) Member Private Offering
A "member private offering" means a private placement of unregistered securities issued by a member or a control entity.
(2) Control Entity
A "control entity" means any entity that controls or is under common control with a member, or that is controlled by a member or its associated persons.
(3) Control
The term "control" means beneficial interest, as defined in Rule 5130(i)(1), of more than 50 percent of the…
Rule
(a) Filing Requirements
Each member that sells a security in a non-public offering in reliance on an available exemption from registration under the Securities Act ("private placement") must: (i) submit to FINRA, or have submitted on its behalf by a designated member, a copy of any private placement memorandum, term sheet or other offering document, including any materially amended versions thereof, used in connection with such sale within 15 calendar days of the…