Index [Version up to February 28, 2019]
Anti-Intimidation/Coordination—Failure to Comply With Rule Requirements 48
Backing Away 49
Best Execution—Failure to Comply With Requirements for Best Execution 50
Branch Offices—Failure to Register 39
Cheating, Using an Impostor, or Possessing Unauthorized Materials in Qualifications Examinations or in the Regulatory Element of Continuing Education 40
Arbitration Award—Failure to Honor or Failure to Honor in a Timely Manner 18
Borrowing From or Lending to Customers—Failure to Comply With Rule Requirements 77
Churning or Excessive Trading 78
Communications With the Public—Late Filing; Failing to File; Failing to Comply With Rule Standards or Use of Misleading Communications 79
Confidentiality Agreements—Settling With Customer in Exchange for Customer Agreement Not to Cooperate With Regulatory Authorities 32
Conversion or Improper Use of Funds or Securities 36
Failure to Respond, Failure to Respond Truthfully or in a Timely Manner, or Providing a Partial but Incomplete Response to Requests Made Pursuant to FINRA Rule 8210 33
Forgery, Unauthorized Use of Signatures or Falsification of Records 37
Settling Customer Complaints Away From the Firm 34
Continuing Education (Firm Element)—Failure to Comply With Rule Requirements 41
Continuing Education (Regulatory Element)—Failure to Comply With Rule Requirements 42
Disqualified Person Associating With Firm Prior to Approval; Firm Allowing Disqualified Person to Associate Prior to Approval 43
Member Agreement Violations 44
Registration Violations 45
Corporate Financing Rule—Failure to Comply With Rule Requirements 20
Engaging in Prohibited Municipal Securities Business 21
Customer Account Transfer Contracts—Failure to Comply With Rule Requirements 82
Customer Confirmations—Failure to Comply With Rule Requirements 26
Customer Protection Rule—Failure to Comply With Rule Requirements 27
Net Capital Violations 28
Recordkeeping Violations 29
Day-Trading Accounts—Failure to Comply With Risk Disclosure Requirements; Failure Appropriately to Approve an Account for Day Trading; Failure to Preserve Required Day—Trading Records 83
Discretion—Exercise of Discretion Without Customer's Written Authority 86
Guaranteeing a Customer Against Loss 87
Disqualified Persons—Failure to Discharge Supervisory Obligations 101
ECN Display Rule—Failure to Comply With Rule Requirements 52
Failure to Display Minimum Size in NASDAQ Securities, COS Securities and OTC Bulletin Board Securities 53
Escrow Violations—Prohibited Representations in Contingency Offerings; Transmission or Maintenance of Customer Funds in Underwritings 22
Restrictions on the Purchase and Sale of Initial Equity Public Offerings Violations 23
Extended Hours Trading Risk Disclosure—Failure to Comply With Rule Requirements 47
FOCUS Reports—Late Filing; Failing to File; Filing False or Misleading Reports 70
Forms U4/U5—Late Filing of Forms or Amendments; Failing to File Forms or Amendments; Filing of False, Misleading or Inaccurate Forms or Amendments 71
Institutional Communications—Failing to Establish and Maintain Written Procedures in Compliance With Rule Standards; Failing to Comply With Rule Standards Regarding Recordkeeping 88
Fraud, Misrepresentations or Material Omissions of Fact 89
Limit Order Display Rule—Failure to Comply With Rule Requirements 54
Limit Order Protection Rule—Failure to Comply With Rule Requirements 55
Locked/Crossed Market—Failure to Comply With Rule Requirements 56
Marking the Close or Open 57
MSRB Rule G-37 Reporting—Late Filing; Failing to File; Filing False or Misleading Reports 72
Options Exercise and Positions Limits—Failure to Comply With Rule Requirements 58
Options Positions Reporting—Late Reporting and Failing to Report 59
Order Audit Trail System (OATS)—Late Reporting; Failing to Report; False, Inaccurate or Misleading Reporting; and Clock Synchronization Failure 60
Passive Market Making Violations 61
Prohibition on Transactions, Publication of Quotations or Publication of Indications of Interest During a Trading Halt 62
Reports of Execution Quality and Order Routing 63
Short Interest Reporting 64
Short Sale Violations 65
Outside Business Activities—Failure to Comply With Rule Requirements 13
Penny Stock Rules—Failure to Comply With Rule Requirements 90
Pricing—Excessive Markups/Markdowns and Excessive Commissions 91
Regulation M Reports—Late Filing; Failing to File; False or Misleading Filing 73
Regulation T and Margin Requirements—Violations of Regulation T and/or FINRA Margin Requirements 30
Reportable Events Under NASD Rule 3070—Late Reporting; Failing to Report; Filing False, Inaccurate or Misleading Reports 74
Request for Automated Submission of Trading Data—Failure to Respond in a Timely and Accurate Manner 75
Research Analysts and Research Reports—Failing to Comply With Rule Requirements Regarding
(1) Relationships Between Research Department and Investment Banking Department;
(2) Compensation for Research Analysts; and
(3) Relationships Between Research Analysts and Subject Companies
92
Research Analysts and Research Reports—Failing to Comply With Rule Requirements Regarding
(1) Restrictions on Publishing Research Reports and Public Appearances of Research Analysts;
(2) Restrictions on Personal Trading of Research Analysts; and
(3) Disclosure Requirements for Research Reports and Public Appearances of Research Analysts
93
Selling Away (Private Securities Transactions) 14
Suitability—Unsuitable Recommendations 95
Supervision—Failure to Comply With Taping Rule Requirements 102
Supervision—Failure to Supervise 104
Supervision—Systemic Supervisory Failures 105
Supervisory Procedures—Deficient Written Supervisory Procedures 107
Telemarketing—Failing to Comply With Time-of-Day Restrictions and Do-Not-Call Lists; Failing to Establish and Maintain Procedures to Comply With Rule 3230(a) 96
Trading Ahead of Research Reports 98
Unauthorized Transactions and Failures to Execute Buy or Sell Orders 99
Trade Reporting and Compliance Engine (TRACE)—Late Reporting; Failing to Report; False, Inaccurate or Incomplete Reporting 66
Trade Reporting—Late Reporting; Failing to Report; False, Inaccurate or Misleading Reporting 68
Transactions for or by Associated Persons—Failure to Comply With Rule Requirements 16
Unregistered Securities—Sales of 24

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