FINRA Rules definition

FINRA Rules means the Conduct Rules and the By-Laws of the Financial Industry Regulatory Authority, Inc.
FINRA Rules means the Conduct Rules and the By-laws of the Financial Industry Regulatory Authority.

Examples of FINRA Rules in a sentence

  • Causing a firm to enter false information in its books and records violates FINRA Rules 4511 and 2010.

  • Dakota Violated FINRA Rules 3110 and 2010 by Failing to Establish, Maintain, and Enforce a System of Written Procedures to Supervise Its Business and Associated Persons The Hearing Panel found that Dakota violated FINRA Rules 3110 and 2010 by failing to maintain a supervisory system adequate to ensure that Zipper did not associate with the firm during the Suspension Period and failing to adequately supervise the creation of the firm’s books and records.

  • Cause five alleged that Dakota and Zipper violated FINRA Rules 4511 and 2010, and that Dakota willfully violated Section 17(a) of the Securities Exchange Act of 1934 (the “Exchange Act”) and Exchange Act Rule 17a-3 by misidentifying in Dakota’s books and records the representative of record for certain tradesentered before, during, and after the Suspension Period.

  • We find that Zipper caused Dakota to maintain inaccurate books and records, thereby violating FINRA Rules 4511 and 2010, and that Dakota maintained inaccurate books and records, thereby violating Exchange Act Section 17(a), Rule 17a-3 thereunder, and FINRA Rule 2010.

  • Cause three alleged that Dakota violated NASD Rule 1031, Article III, Section 3(b) of FINRA’s By-Laws, and FINRA Rules 8311 and 2010 by allowing Zipper to associate with the firm and engage in activities requiring registration while suspended and statutorily disqualified.Cause four alleged that Dakota violated FINRA Rules 3110 and 2010 by failing to establish and maintain a supervisory system reasonably designed to achieve compliance with applicable securities laws and regulations and FINRA rules.


More Definitions of FINRA Rules

FINRA Rules means the rules set forth in the FINRA Manual.
FINRA Rules means the Constitution, By-Laws, and Rules of Fair Practice of FINRA and any interpretations thereof.
FINRA Rules means (i) all applicable laws (including intellectual property, communications, and securities laws), statutes and regulations, orders, decisions, interpretations, opinions, and other requirements whether promulgated by the United States or any other applicable jurisdiction; (ii) the rules, interpretations, opinions, orders, regulations or other requirements of the SEC; (iii) the rules, disciplinary decisions, rule interpretations and regulations of FINRA or any other self-regulatory organization with jurisdiction over the Participant, including those requirements established by FINRA’s rule filings (with such SEC approval as may be required); (iv) any FINRA operating procedures, specifications, requirements and other documentation that is regulatory or technical in nature (including, but not limited to, user guides or other guidelines) published on XXXXX.xxx website or any other FINRA website accessible by and made known to Participant; (v) obligations of Participant contained in any other agreements which are required in order for Participant to access or receive the Service; and (vi) all successors of the components of FINRA Rules, as they may exist at the time.