Quiero saber acerca de...

54000

Federal Register / Vol. 86, No. 186 / Wednesday, September 29, 2021 / Notices BX Rule
Nasdaq Rule
FINRA Rule
General 3, Rule 1002d. Registration of Branch Offices and Designation of Office of Supervisory Jurisdiction.
General 3, 1012c1. Duty to Ensure the Accuracy, Completeness, and Current Nature of Membership Information Filed with the Exchange.
General 4, Section 1, 1210. Registration Requirements.
General 4, Section 1, 1220. Registration Categories1.
General 4, Section 1, 1220.06. Eliminated Registration Categories1.

General 3, Rule 1002d. Registration of Branch Offices and Designation of Office of Supervisory Jurisdiction.
General 3, Rule 1012c1. Duty to Ensure the Accuracy, Completeness, and Current Nature of Membership Information Filed with the Exchange.
General 4, Section 1, 1210. Registration Requirements.
General 4, Section 1, 1220. Registration Categories1.
General 4, Section 1, 1220.06. Eliminated Registration Categories2.

3110a3 Supervision and SM .01 and .02
Supervision and FINRA By-Laws Article IV, Sec. 8.
1122. Filing of Misleading Information as to Membership or Registration; FINRA Bylaws Article IV, sec. 1c of the By-Laws.
1210. Registration Requirements.
1220. Registration Categories.
1220.06. Eliminated Registration Categories.

1 FINRA shall only have Regulatory Responsibilities regarding BX General 4, Section 1220 to the extent that BX recognizes the same categories of limited principal and representative registration as the BX Rule, by incorporating Nasdaq General 4, Section 1220, does not recognize registration related to investment banking, research, government securities, investment company and variable contracts products, direct participation programs, private securities offerings, and operations professional.
2 FINRA shall only have Regulatory Responsibilities regarding Nasdaq General 4, Section 1220 to the extent that Nasdaq recognizes the same categories of limited principal and representative registration as Nasdaq General 4, Section 1220 does not recognize registration related to investment banking, research, government securities, investment company and variable contracts products, direct participation programs, private securities offerings, and operations professional.

lotter on DSK11XQN23PROD with NOTICES1

General 4, Section 1, Rule 123012D Associated Persons Exempt from Registration.
General 4, Section 1, 1240. Continuing Education Requirements.
General 4, Section 1, 1250. Electronic Filing Requirements for Uniform Forms.

General 4, Section 1, Rule 123012D Associated Persons Exempt from Registration.
General 4, Section 1, 1240. Continuing Education Requirements.
General 4, Section 1, 1250. Electronic Filing Requirements for Uniform Forms.

Equity 5, Section 1. Definitions
Equity 5, Section 2. Applicability
Equity 5, Section 3. Synchronization of Member Business Clocks.
Equity 5, Section 4. Recording of Order Information.
Equity 5, Section 5. Order Data Transmission Requirements.
Equity 5, Section 6. Violation of Order Audit Trail System Rules.
General 9, Section 1a. Standards of Commercial Honor and Principles of Trade.
General 9, Section 1b. Trading Ahead of Customer Orders.
General 9, Section 1c. Front Running Policy ..
General 9, Section 1d. Trading Ahead of Research Reports.
General 9, Section 1e. Anti-Intimidation/Coordination.
General 9, Section 1f. Confirmation of Callable Common Stock.
General 9, Section 1g. Interfering With the Transfer of Customer Accounts in the Context of Employment Disputes.
General 9, Section 1i. Use of Manipulative, Deceptive or Other Fraudulent Devices.
General 9, Section 2. Customers Securities or Funds.

Equity 5, Section 1. Definitions
Equity 5, Section 2. Applicability
Equity 5, Section 3. Synchronization of Member Business Clocks.
Equity 5, Section 4. Recording of Order Information.
Equity 5, Section 5. Order Data Transmission Requirements.
Equity 5, Section 6. Violation of Order Audit Trail System Rules.
General 9, Section 1a. Standards of Commercial Honor and Principles of Trade.
General 9, Section 1b. Prohibition Against Trading Ahead of Customer Orders.
General 9, Section 1c. Front Running Policy General 9, Section 1d. Trading Ahead of Research Reports.
General 9, Section 1e. Anti-Intimidation/Coordination.
General 9, Section 1f. Confirmation of Callable Common Stock.
General 9, Section 1h. Interfering With the Transfer of Customer Accounts in the Context of Employment Disputes.
General 9, Section 1g. Use of Manipulative, Deceptive or Other Fraudulent Devices.
General 9, Section 2. Customers Securities or Funds.

General 9, Section 3. Communications with the Public.
General 9, Section 5. Telemarketing
General 9, Section 6. Forwarding of Proxy and Other Issuer-Related Materials.
General 9, Section 7a. Disclosure of Financial Condition.
General 9, Section 7b. Disclosure of Control Relationship with Issuer.
General 9, Section 7c. Disclosure of Participation or Interest in Primary or Secondary Distribution.
General 9, Section 10 Recommendations to Customers Suitability.

General 9, Section 3. Communications with the Public.
General 9, Section 5. Telemarketing
General 9, Section 6. Forwarding of Proxy and Other Issuer-Related Materials.
General 9, Section 7a. Disclosure of Financial Condition.
General 9, Section 7b. Disclosure of Control Relationship with Issuer.
General 9, Section 7c. Disclosure of Participation or Interest in Primary or Secondary Distribution.
General 9, Section 10 Recommendations to Customers Suitability.

VerDate Sep<11>2014

18:22 Sep 28, 2021

Jkt 253001

PO 00000

Frm 00059

Fmt 4703

Sfmt 4703

1230. Associated Persons Exempt from Registration.
1240. Continuing Education Requirements.
1010. Electronic Filing Requirements for Uniform Forms and FINRA Bylaws Article V, Section 2.
7410. Definitions.
7420. Applicability.
7430. Synchronization of Member Business Clocks.
7440. Recording of Order Information.
7450. Order Data Transmission Requirements.
7460. Violation of Order Audit Trail System Rules.
2010. Standards of Commercial Honor and Principles of Trade.
5320. Prohibition Against Trading Ahead of Customer Orders.
5270. Front Running of Block Transactions.
5280. Trading Ahead of Research Reports.
5240. Anti-Intimidation/Coordination.
2232. Customer Confirmations.
2140. Interfering With the Transfer of Customer Accounts in the Context of Employment Disputes.
2020. Use of Manipulative, Deceptive or Other Fraudulent Devices.
2150. Improper Use of Customers Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts.
2210. Communications with the Public.
3230. Telemarketing.
2251. Processing and Forwarding of Proxy and Other Issuer-Related Materials.
2261. Disclosure of Financial Condition.
2262. Disclosure of Control Relationship with Issuer.
2269. Disclosure of Participation or Interest in Primary or Secondary Distribution.
2111. Suitability.

E:FRFM29SEN1.SGM

29SEN1