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Federal Register / Vol. 86, No. 18 / Friday, January 29, 2021 / Notices NYSE Arca Equities Rules 4

FINRA Rules
2.24b, c, and Commentary .03 and .05 Registration-Employees of ETP Holders .

FINRA Rule 1210 and SM .03, .07 and .08 Registration Requirements, and FINRA Rule 1240 Continuing Education Requirements, and FINRA Rule 1230a Associated Persons Exempt from Registration.
FINRA Rule 1240 Continuing Education Requirements.

2.24d and Commentary .04 Continuing Education and 9.27
Ec Continuing Education Requirements.
2.24i Registration-Employees of ETP Holders
2.24j Registration-Employees of ETP Holders
5.2Eh Unit Investment Trusts UITs Commentary .03
7.3Eb and c Commissions
9.1Ea Register with the Exchange
9.1Ec Office Supervision
9.1Ed ETP Holder shall at all times
9.1Ee2 and 3 Guarantees
9.2Ea Diligence As To Accounts
9.2Ea2 and 3 Diligence As To Accounts
9.2Eb1 and 4 Account Supervision
9.2Ec Customer Records
9.3Ea Employee Accounts
9.3Eb ETP Holder Accounts
9.4E Proxies Voting
9.5E Solicitation Expense
9.6Ea Discretion as to Customers Accounts and 9.6Eb Records of Discretionary Accounts.
9.6Ec Marking Discretionary Orders
9.7Eb Use of Customer Securities
9.7Ec Customer ProtectionReserves and Custody of Securities.
9.7Ed Agreements for Use of Customer Securities
9.11E Confirmations
9.12E COD OrdersPartial Delivery
9.14E Account Designation
9.15E Statements of Account to Customers
9.16O Statement or Notice on Interest

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9.18Eh Doing a Public Business in Options
9.19E Transfer of Accounts
9.20Eb Telemarketing
9.27Ea and b Registration of Representatives

9.29E Borrowing From or Lending to Customers
11.22 Trading Ahead of Research Reports
9.2010E Standards of Commercial Honor and Principles of Trade.
9.2020E Use of Manipulative, Deceptive or Other Fraudulent Devices.
9.2150E Improper Use of Customers Securities or Funds Prohibition Against Guarantees and Sharing in Accounts.
9.2262E Disclosure of Control Relationship with Issuer
9.2269E Disclosure of Participation or Interest in Primary or Secondary Distribution.
9.3220E Influencing or Rewarding Employees of Others
9.3270E Outside Business Activities of Registered Persons
9.5320E Prohibition Against trading Ahead of Customer Orders.
9.5190E Notification Requirements for Offering Participants ..
9.5210E Publication of Transactions and Quotations
6.7410E Definitions
6.7420E Applicability
6.7430E Synchronization of ETP Holder Business Clock

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FINRA Rule 1010e Electronic Filing Requirements for Uniform Forms and FINRA By-Laws Article V, Section 3 Notification by Member to the Corporation and Associated Person of Termination; Amendments to Notification.
FINRA By-Laws Article V, Section 2 Application for Registration.
FINRA Rule 3260c Discretionary Accounts.
FINRA Rule 2232 Customer Confirmations and SEA 10b10.
FINRA Rule 3110a3 Supervisory System, SM .01 Registration of Main Office, and SM .02 Designation of Additional OSJs, and FINRA By-Laws Article IV, Sec. 1c Application for Membership.
FINRA Rule 3110a Supervision.
FINRA Rule 3110a Supervison.
FINRA Rule 2150b Improper use of Customers Securities or Funds; Prohibitions Against Guarantees and Sharing in Accounts.
FINRA Rule 2090 Know Your Customer.6
FINRA Rule 2111 Suitability.
FINRA Rule 3110 Supervision and FINRA Rule 4511.
FINRA Rule 4512 Customer Account Information. 7
FINRA Rule 3210 Accounts at Other Broker-Dealers and Financial Institutions.8
FINRA Rule 3210 Accounts at Other Broker-Dealers and Financial Institutions.
FINRA Rule 2251b Processing and Forwarding of Proxies and Other IssuerRelated Materials.
FINRA Rule 2251c Processing and Forwarding of Proxies and Other IssuerRelated Materials.
FINRA Rule 3260 Discretionary Accounts and FINRA Rule 4512a3 Customer Account Information.
FINRA Rule 3260 Discretionary Accounts.
FINRA Rule 2150a Improper use of Customers Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts, and FINRA Rule 2010
Standards of Commercial Honor and Principles of Trade.
FINRA 4330b1A Customer ProtectionPermissible Use of Customers Securities and SM .01 Definitions.
FINRA 4330aCustomer ProtectionPermissible Use of Customers Securities.
Temporary Dual FINRA NYSE Member Rule 409Tb Statements of Accounts to Customer.9
FINRA Rule 11860 COD Orders.
FINRA Rule 4515 Approval and Documentation of Changes in Account Name or Designation.
FINRA Rule 2231 Customer Account Statements.
FINRA Rule 2360b15 Options, FINRA Rule 2231a Customer Account Statements.
FINRA Rule 2360b13 Options.
FINRA Rule 11870 Customer Account Transfer Contracts.
FINRA Rule 3230 Telemarketing.
FINRA Rule 1220 Registration Categories, FINRA Rule 1240 Continuing Education Requirements, FINRA Rule 1010d Electronic Filing Requirements for Uniform Forms, and FINRA By-Laws Article V Registered Representatives and Associated Persons.
FINRA Rule 3240 Borrowing From or Lending to Customers.
FINRA Rule 5280 Trading Ahead of Research Reports.
FINRA Rule 2010 Standards of Commercial Honor and Principles of Trade.
FINRA Rule 2020 Use of Manipulative, Deceptive or Other Fraudulent Devices.
FINRA Rule 2150 Improper Use of Customers Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts.
FINRA Rule 2262 Disclosure of Control Relationship with Issuer.
FINRA Rule 2269 Disclosure of Participation or Interest in Primary or Secondary Distribution.
FINRA Rule 3220 Influencing or Rewarding Employees of Others.
FINRA Rule 3270 Outside Business Activities of Registered Persons.
FINRA Rule 5320 Prohibition Against Trading Ahead of Customer Orders.
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Rule Rule Rule Rule Rule
5190
5210
7410
7420
4590

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Notification Requirements for Offering Participants.10
Publication of Transactions and Quotations.
Definitions.
Applicability.
Synchronization of Member Business Clocks.

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