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.
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FINRA Rules means the Conduct Rules and the By-Laws of the Financial Industry Regulatory Authority.
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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.
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Examples of FINRA Rules in a sentence

  • The Company shall also advise the Investor promptly (but in no event later than 24 hours) and shall confirm such advice in writing of the Company becoming aware of the happening of any event, which makes any statement made in the FINRA Filing untrue or which requires the making of any additions to or changes to the statements then made in the FINRA Filing in order to comply with FINRA Rules 5110 and 5121.

  • 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.

  • The Dealer will abide by the Rules of FINRA, including FINRA Rules 2040, 2111 and 2121.


More Definitions of FINRA Rules

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