{"component": "definition", "props": {"groups": [{"snippet": "means the Constitution, By-Laws, and Rules of Fair Practice of the Financial Industry Regulatory Authority, Inc. (\"FINRA\") and any interpretations thereof.", "samples": [{"hash": "kEUd9apGdgs", "uri": "/contracts/kEUd9apGdgs#finra-rules", "label": "Underwriting Agreement (Mutual Fund & Variable Insurance Trust)", "score": 37.3203285421, "published": true}, {"hash": "7z0cKtxC0Xx", "uri": "/contracts/7z0cKtxC0Xx#finra-rules", "label": "Underwriting Agreement (Copeland Trust)", "score": 37.2327156067, "published": true}, {"hash": "4ryBvEPgDo5", "uri": "/contracts/4ryBvEPgDo5#finra-rules", "label": "Underwriting Agreement (North Country Funds)", "score": 37.2299804688, "published": true}], "size": 201, "snippet_links": [{"key": "the-constitution", "type": "clause", "offset": [6, 22]}, {"key": "rules-of-fair-practice", "type": "clause", "offset": [37, 59]}, {"key": "the-financial-industry-regulatory-authority", "type": "clause", "offset": [63, 106]}], "hash": "124a8e7ef8d5c81c98c0e8ffaef59871", "id": 1}, {"snippet": "means the Conduct Rules and the By-Laws of the Financial Industry Regulatory Authority.", "samples": [{"hash": "dg7eGPOaJEj", "uri": "/contracts/dg7eGPOaJEj#finra-rules", "label": "Registration Rights Agreement (Finance of America Companies Inc.)", "score": 35.8418884277, "published": true}, {"hash": "eolhUpZFwfz", "uri": "/contracts/eolhUpZFwfz#finra-rules", "label": "Registration Rights Agreement (Nextera Energy Partners, Lp)", "score": 34.8644752502, "published": true}, {"hash": "aibeyLxZCD6", "uri": "/contracts/aibeyLxZCD6#finra-rules", "label": "Registration Rights Agreement (Corporate Office Properties Trust)", "score": 34.7002067566, "published": true}], "size": 82, "snippet_links": [{"key": "conduct-rules", "type": "clause", "offset": [10, 23]}, {"key": "the-financial-industry-regulatory-authority", "type": "clause", "offset": [43, 86]}], "hash": "c9506b1f16b1b8957e497654a12307fb", "id": 2}, {"snippet": "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.", "samples": [{"hash": "7IcHoqOOIkk", "uri": "https://22530636.fs1.hubspotusercontent-na1.net/hubfs/22530636/Legal%20Hub/Templum%20ATS%20Rulebook.pdf", "label": "22530636.fs1.hubspotusercontent-na1.net", "score": 15.9769487381, "published": false}, {"hash": "6kLta1JkGbq", "uri": "https://www.trumid.com/wp-content/uploads/2023/09/Trumid-SEC-Registered-Rulebook-Effective-9-11-23.pdf", "label": "www.trumid.com", "score": 9.845995903, "published": false}, {"hash": "2i6VJykCjBS", "uri": "https://www.trumid.com/wp-content/uploads/2023/03/Trumid-SEC-Registered-Rulebook-Effective-3-9-23-1.pdf", "label": "www.trumid.com", "score": 9.5639972687, "published": false}], "size": 14, "snippet_links": [{"key": "rules-adopted", "type": "clause", "offset": [10, 23]}, {"key": "the-national-association", "type": "definition", "offset": [53, 77]}, {"key": "securities-dealers", "type": "clause", "offset": [81, 99]}, {"key": "approved-by", "type": "definition", "offset": [111, 122]}, {"key": "the-sec", "type": "definition", "offset": [123, 130]}, {"key": "in-effect", "type": "definition", "offset": [135, 144]}], "hash": "65b3f2384605d5ce65c317e529cf0e12", "id": 3}, {"snippet": "means the rules of FINRA or any successor body, as amended from time to time.", "samples": [{"hash": "cjNbheX5lwz", "uri": "http://registers.centralbank.ie/ICAVDocuments/C542915/Instrument%20of%20Incorporation%20Updated%2024.12.19.pdf", "label": "registers.centralbank.ie", "score": 17.9780158997, "published": false}, {"hash": "h2maLDpd0hh", "uri": "http://registers.centralbank.ie/ICAVDocuments/C542915/Instrument%20of%20Incorporation%20on%20Registration.pdf", "label": "registers.centralbank.ie", "score": 17.7009716034, "published": false}, {"hash": "pD5VROG7W", "uri": "http://registers.centralbank.ie/ICAVDocuments/C492701/Instrument%20of%20Incorporation%20Updated%2023.08.29.pdf", "label": "registers.centralbank.ie", "score": 16.3057098389, "published": false}], "size": 12, "snippet_links": [{"key": "rules-of", "type": "definition", "offset": [10, 18]}, {"key": "successor-body", "type": "definition", "offset": [32, 46]}, {"key": "as-amended", "type": "definition", "offset": [48, 58]}, {"key": "from-time-to-time", "type": "clause", "offset": [59, 76]}], "hash": "fef0f7f6429f7b8b59e1bf0f9dc512ec", "id": 4}, {"snippet": "means the rules set forth in the FINRA Manual.", "samples": [{"hash": "aG9NDc9fpKc", "uri": "https://www.sec.gov/Archives/edgar/data/1499573/000149957312000021/v1499573_ex3-1.htm", "label": "FlatWorld Acquisition Corp.", "score": 7.9705681801, "published": false}, {"hash": "9hw52EalUZp", "uri": "https://www.sec.gov/Archives/edgar/data/1499573/000149957312000020/v1499573_ex99-2.htm", "label": "FlatWorld Acquisition Corp.", "score": 7.932238102, "published": false}, {"hash": "kvGqXDgftm7", "uri": "https://www.sec.gov/Archives/edgar/data/1499573/000149957312000004/v14995573_ex3-2.htm", "label": "FlatWorld Acquisition Corp.", "score": 7.5763177872, "published": false}], "size": 12, "snippet_links": [{"key": "the-rules", "type": "clause", "offset": [6, 15]}, {"key": "finra-manual", "type": "definition", "offset": [33, 45]}], "hash": "4bd21d11bbe71934bd964cb655adf4be", "id": 5}, {"snippet": "shall have the meaning assigned thereto in Section 3(d)(xiv) hereof.", "samples": [{"hash": "iU3sGNwy9wb", "uri": "/contracts/iU3sGNwy9wb#finra-rules", "label": "Exchange and Registration Rights Agreement (Berkshire Hathaway Inc)", "score": 21.0, "published": true}, {"hash": "hHwOH5hpcE8", "uri": "/contracts/hHwOH5hpcE8#finra-rules", "label": "Exchange and Registration Rights Agreement (Berkshire Hathaway Inc)", "score": 21.0, "published": true}, {"hash": "gx5DK4dUo9K", "uri": "/contracts/gx5DK4dUo9K#finra-rules", "label": "Exchange and Registration Rights Agreement (Berkshire Hathaway Inc)", "score": 21.0, "published": true}], "size": 10, "snippet_links": [], "hash": "82669bcbc5fab20dfd44b18ee51f3d87", "id": 6}, {"snippet": "means the rules of FINRA, including Rules 5130 and 5131, as the same may from time to time be amended;", "samples": [{"hash": "40NdKFoJqlY", "uri": "https://irramxwebsitepsa.blob.core.windows.net/strapi/assets/AMX_UCITS_ICAV_Prospectus_2_February_2024_4f9b7f8dac.pdf", "label": "irramxwebsitepsa.blob.core.windows.net", "score": 19.5489349365, "published": false}, {"hash": "fbxpmMdc0v7", "uri": "https://doc.morningstar.com/Document/72769761b0abd6a20ff17e408d224873.msdoc/?key=2bd78170fa020ae13075beb33614716999c81b66842abd6071a78b469c8b3aa1", "label": "doc.morningstar.com", "score": 11.6926765442, "published": false}, {"hash": "ieGkupUoWAP", "uri": "https://pamxconnectem20sapub.blob.core.windows.net/marketing-assets/ucits-key-documents/AMX%20UCITS%20CCF%20-%20Prospectus%20for%20Germany%20-%2030%20August%202022.pdf", "label": "pamxconnectem20sapub.blob.core.windows.net", "score": 11.332649231, "published": false}], "size": 6, "snippet_links": [{"key": "rules-of", "type": "definition", "offset": [10, 18]}, {"key": "rules-5130-and-5131", "type": "clause", "offset": [36, 55]}, {"key": "from-time-to-time", "type": "clause", "offset": [73, 90]}], "hash": "5c6352db656a8c7044fcfd24c5f943f5", "id": 7}, {"snippet": "means the rules of FINRA, as amended from time to time.", "samples": [{"hash": "auUxBLBbX20", "uri": "/contracts/auUxBLBbX20#finra-rules", "label": "Equity Purchase Agreement (Navigant Consulting Inc)", "score": 29.4873371124, "published": true}, {"hash": "jplhW3P7FZa", "uri": "/contracts/jplhW3P7FZa#finra-rules", "label": "Purchase Agreement (Aon PLC)", "score": 28.1101989746, "published": true}, {"hash": "83i6GcX4a7K", "uri": "http://d18rn0p25nwr6d.cloudfront.net/CIK-0000315293/9b192908-4822-4baa-ad82-24b1eef3ac06.pdf", "label": "d18rn0p25nwr6d.cloudfront.net", "score": 10.5482549667, "published": false}], "size": 5, "snippet_links": [{"key": "rules-of", "type": "definition", "offset": [10, 18]}, {"key": "as-amended", "type": "definition", "offset": [26, 36]}, {"key": "from-time-to-time", "type": "clause", "offset": [37, 54]}], "hash": "cc1a5637f4c06f962873e0990e9f89e8", "id": 8}, {"snippet": "means the current FINRA rulebook. See supra notes 3 and 8.", "samples": [{"hash": "gManelOQzui", "uri": "https://www.lexissecuritiesmosaic.com/gateway/sec/sro-rulemaking/34-76082.pdf", "label": "www.lexissecuritiesmosaic.com", "score": 10.9014377594, "published": false}, {"hash": "f9H40irOK0z", "uri": "https://public-inspection.federalregister.gov/2015-25861.pdf", "label": "public-inspection.federalregister.gov", "score": 8.6938199997, "published": false}, {"hash": "8lPAmtAmlQj", "uri": "https://www.finra.org/sites/default/files/SR-FINRA-2015-034.pdf", "label": "www.finra.org", "score": 7.8514714241, "published": false}], "size": 5, "snippet_links": [{"key": "the-current", "type": "clause", "offset": [6, 17]}], "hash": "229ccac6e65e6f2eb6b2421e01ad24d3", "id": 9}, {"snippet": "means the rules set forth in the NASD Manual.", "samples": [{"hash": "1gFgcI2QvJG", "uri": "https://www.sec.gov/Archives/edgar/data/1426786/000114420408054270/v126906_ex3-2.htm", "label": "Articles of Association (Infinity I-China Acquisition CORP)", "score": 9.0, "published": false}, {"hash": "l2q0me7xrUZ", "uri": "https://www.sec.gov/Archives/edgar/data/1426634/000114420408053168/v126446_ex3-2.htm", "label": "Articles of Association (Indas Green Acquisition CORP)", "score": 7.0, "published": false}, {"hash": "8MRiCI28pKd", "uri": "https://www.sec.gov/Archives/edgar/data/1426634/000114420408052606/v125948_ex3-2.htm", "label": "Articles of Association (Indas Green Acquisition CORP)", "score": 7.0, "published": false}], "size": 4, "snippet_links": [{"key": "the-rules", "type": "clause", "offset": [6, 15]}, {"key": "nasd-manual", "type": "definition", "offset": [33, 44]}], "hash": "db8f4f15673070831a5dcc30f02cd855", "id": 10}], "next_curs": "ClgSUmoVc35sYXdpbnNpZGVyY29udHJhY3RzcjQLEhpEZWZpbml0aW9uU25pcHBldEdyb3VwX3Y1NiIUZmlucmEtcnVsZXMjMDAwMDAwMGEMogECZW4YACAA", "definition": {"snippet": "means the Constitution, By-Laws, and Rules of Fair Practice of the Financial Industry Regulatory Authority, Inc. (\"FINRA\") and any interpretations thereof.", "size": 398, "title": "FINRA Rules", "id": "finra-rules", "examples": ["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 <strong>FINRA Rules</strong> 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 \u2018s aggregate compensation is in excess of <strong>FINRA Rules</strong> or that the terms thereof require adjustment.", "The Dealer will abide by the Rules of FINRA, including <strong>FINRA Rules</strong> 2040, 2111 and 2121."], "related": [["pra-rules", "PRA Rules", "PRA Rules"], ["ma-rules", "M&A Rules", "M&amp;A Rules"], ["fca-rules", "FCA Rules", "FCA Rules"], ["nasd-rules", "NASD Rules", "NASD Rules"], ["fsa-rules", "FSA Rules", "FSA Rules"]], "related_snippets": [], "updated": "2026-04-30T06:05:53+00:00"}, "json": true, "cursor": ""}}