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, Inc.
FINRA Rules means the Conduct Rules and the By-laws of the Financial Industry Regulatory Authority.
Examples of FINRA Rules in a sentence
The FINRA Rules apply to all FINRA members, unless such rules have a more limited application by their terms.
FINRA’s rulebook currently has three sets of rules: (1) NASD Rules, (2) FINRA Incorporated NYSE Rules, and (3) consolidated FINRA Rules.
The current FINRA rulebook consists of (1) FINRA Rules; (2) NASD Rules; and (3) rules incorporated from NYSE (‘‘Incorporated NYSE Rules’’) (together, the NASD Rules and Incorporated NYSE Rules are referred to as the ‘‘Transitional Rulebook’’).
Rules: FINRA Rules 4370(c)(3),(c)(4), (c)(5), (c)(7), (c)(9 & (g)(2)).
The FINRA Incorporated NYSE Rules apply only to those members of FINRA that are also members of the NYSE (‘‘Dual Members’’), while the consolidated FINRA Rules apply to all FINRA members.
More Definitions of FINRA Rules
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.
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;