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Displaying 71 - 80 of 1438 Results
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…
Rule
Pursuant to the procedures set forth in Rule 6120(b), FINRA shall halt all trading otherwise than on an exchange in any NMS stock, as defined in Rule 600(b)(47) of SEC Regulation NMS, if other major securities markets initiate market-wide trading halts in response to their rules or extraordinary market conditions or if otherwise directed by the Securities and Exchange Commission. Members must halt quoting and trading otherwise than on an exchange in any NMS stock as…
Rule
Immediately Effective Rule Changes Pending Issuance of a Regulatory Notice
Rule
Rule
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") and central repository pursuant to Rule 613 of SEC Regulation…