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.
FINRA Rules means the Conduct Rules and the By-Laws of the Financial Industry Regulatory Authority.
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.
Examples of FINRA Rules in a sentence
The Company has not issued any warrants or other securities, or granted any options, directly or indirectly, to anyone who is a potential underwriter in the Offering or a related person (as defined by FINRA rules) of such an underwriter within the 180-day period prior to the initial filing date of the Registration Statement.
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 shall have the meaning assigned thereto in Section 3(d)(xiv) hereof.
FINRA Rules means the rules of FINRA, including Rules 5130 and 5131, as the same may from time to time be amended;
FINRA Rules means the current FINRA rulebook. See supra notes 3 and 8.