FINRA Rules definition

FINRA Rules means the Constitution, By-Laws, and Rules of Fair Practice of the Financial Industry Regulatory Authority, Inc. ("FINRA") and any interpretations thereof.
View Source
FINRA Rules means the Conduct Rules and the By-Laws of the Financial Industry Regulatory Authority.
View Source
FINRA Rules means the rules adopted by FINRA or its predecessor, the National Association of Securities Dealers, Inc., and approved by the SEC, as in effect at any given time.
View Source

Examples of FINRA Rules in a sentence

  • The Placement Agent reserves the right to reduce any item of compensation or adjust the terms thereof as specified herein in the event that a determination shall be made by FINRA to the effect that the Placement Agent’s aggregate compensation is in excess of FINRA Rules or that the terms thereof require adjustment.

  • Notwithstanding the provisions of this Section 5.1.2, the Holder shall be entitled to a demand registration under this Section 5.1.2 on only one (1) occasion and such demand registration right shall terminate on the fifth anniversary of the date of the Placement Agency Agreement (as defined below) in accordance with FINRA Rules 5110(g)(8)(B) and 5110(g)(8)(C).

  • ALPS or its undersigned as defined by Rule 17a-4 of the 1934 Act shall have access to all electronic communications, including password access to the system storing the electronic communications, of registered representatives of ALPS that are associated with the Trust and are required to be maintained under Rule 17a-4 of the Exchange Act and FINRA Rules 3110 and 3010.


More Definitions of FINRA Rules

FINRA Rules means the rules of FINRA or any successor body, as amended from time to time.
View Source
FINRA Rules means the rules set forth in the FINRA Manual.
View Source
FINRA Rules shall have the meaning assigned thereto in Section 3(d)(xiv) hereof.
View Source
FINRA Rules means the rules of FINRA, including Rules 5130 and 5131, as the same may from time to time be amended;
View Source
FINRA Rules means the rules of FINRA, as amended from time to time.
View Source
FINRA Rules means the current FINRA rulebook. See supra notes 3 and 8.
View Source
FINRA Rules means the rules set forth in the NASD Manual.
View Source