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- 0100. General Standards
- 1000. Member Application and Associated Person Registration
- 2000. Duties and Conflicts
- 3000. Supervision and Responsibilities Relating to Associated Persons
- 3100. SUPERVISORY RESPONSIBILITIES
- 3200. RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS
- 3300. ANTI-MONEY LAUNDERING
- 4000. Financial and Operational Rules
- 4100. FINANCIAL CONDITION
- 4200. MARGIN
- 4300. OPERATIONS
- 4500. BOOKS, RECORDS AND REPORTS
- 5000. Securities Offering and Trading Standards and Practices
- 5100. SECURITIES OFFERINGS, UNDERWRITING AND COMPENSATION
- 5200. QUOTATION AND TRADING OBLIGATIONS AND PRACTICES
- 5300. HANDLING OF CUSTOMER ORDERS
- 6000. Quotation, Order, and Transaction Reporting Facilities
- 6100. QUOTING AND TRADING IN NMS STOCKS
- 6200. ALTERNATIVE DISPLAY FACILITY
- 6300. TRADE REPORTING FACILITIES
- 6400. QUOTING AND TRADING IN OTC EQUITY SECURITIES
- 6600. OTC REPORTING FACILITY
- 6700. TRADE REPORTING AND COMPLIANCE ENGINE (TRACE)
- 6800. CONSOLIDATED AUDIT TRAIL COMPLIANCE RULE
- 7000. Clearing, Transaction and Order Data Requirements, and Facility Charges
- 7100. ALTERNATIVE DISPLAY FACILITY
- 7200. TRADE REPORTING FACILITIES
- 7300. OTC REPORTING FACILITY
- 7500. CHARGES FOR ALTERNATIVE DISPLAY FACILITY SERVICES AND EQUIPMENT
- 7600. DATA PRODUCTS AND CHARGES FOR TRADE REPORTING FACILITY SERVICES
- 7700. CHARGES FOR OTC REPORTING FACILITY, OTC BULLETIN BOARD AND TRADE REPORTING AND COMPLIANCE ENGINE SERVICES
- 8000. Investigations and Sanctions
- 8100. GENERAL PROVISIONS
- 8200. INVESTIGATIONS
- 8300. SANCTIONS
- 9000. Code of Procedure
- 9100. APPLICATION AND PURPOSE
- 9200. DISCIPLINARY PROCEEDINGS
- 9210. Complaint and Answer
- 9211. Authorization of Complaint
- 9212. Complaint Issuance — Requirements, Service, Amendment, Withdrawal, and Docketing
- 9213. Assignment of Hearing Officer and Appointment of Panelists to Hearing Panel or Extended Hearing Panel
- 9214. Consolidation or Severance of Disciplinary Proceedings
- 9215. Answer to Complaint
- 9216. Acceptance, Waiver, and Consent; Plan Pursuant to SEA Rule 19d-1(c)(2)
- 9217. Violations Appropriate for Disposition Under Plan Pursuant to SEA Rule 19d-1(c)(2)
- 9220. Request for Hearing; Extensions of Time, Postponements, Adjournments
- 9221. Request for Hearing
- 9222. Extensions of Time, Postponements, and Adjournments
- 9230. Appointment of Hearing Panel, Extended Hearing Panel
- 9231. Appointment by the Chief Hearing Officer of Hearing Panel or Extended Hearing Panel or Replacement Hearing Officer
- 9232. Criteria for Selection of Panelists and Replacement Panelists
- 9233. Hearing Panel or Extended Hearing Panel: Recusal and Disqualification of Hearing Officers
- 9234. Hearing Panel or Extended Hearing Panel: Recusal and Disqualification of Panelists
- 9235. Hearing Officer Authority
- 9240. Pre-hearing Conference and Submission
- 9241. Pre-hearing Conference
- 9242. Pre-hearing Submission
- 9250. Discovery
- 9251. Inspection and Copying of Documents in Possession of Staff
- 9252. Requests for Information
- 9253. Production of Witness Statements
- 9260. Hearing and Decision
- 9261. Evidence and Procedure in Hearing
- 9262. Testimony
- 9263. Evidence: Admissibility
- 9264. Motion for Summary Disposition
- 9265. Record of Hearing
- 9266. Proposed Findings of Fact, Conclusions of Law, and Post-Hearing Briefs
- 9267. Record; Supplemental Documents Attached to Record; Retention
- 9268. Decision of Hearing Panel or Extended Hearing Panel
- 9269. Default Decisions
- 9270. Settlement Procedure
- 9280. Contemptuous Conduct
- 9285. Interim Orders and Mandatory Heightened Supervision While on Appeal or on Discretionary Review
- 9290. Expedited Disciplinary Proceedings
- 9291. Permanent Cease and Desist Orders
- 9300. REVIEW OF DISCIPLINARY PROCEEDING BY NATIONAL ADJUDICATORY COUNCIL AND FINRA BOARD; APPLICATION FOR SEC REVIEW
- 9500. OTHER PROCEEDINGS
- 9600. PROCEDURES FOR EXEMPTIONS
- 9700. PROCEDURES ON GRIEVANCES CONCERNING THE AUTOMATED SYSTEMS
- 9800. TEMPORARY AND PERMANENT CEASE AND DESIST ORDERS
- 9900. RESTRICTIONS ON FORMER FINRA OFFICERS AND EMPLOYEES; NONPUBLIC INFORMATION
- 11000. Uniform Practice Code
- 12000. Code of Arbitration Procedure for Customer Disputes
- PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION AND AUTHORITY
- PART II GENERAL ARBITRATION RULES
- PART III INITIATING AND RESPONDING TO CLAIMS
- PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS
- PART V PREHEARING PROCEDURES AND DISCOVERY
- PART VI HEARINGS; EVIDENCE; CLOSING THE RECORD
- PART VII TERMINATION OF AN ARBITRATION BEFORE AWARD
- PART VIII SIMPLIFIED ARBITRATION, DEFAULT PROCEEDINGS, AND EXPUNGEMENT PROCEEDINGS
- PART IX FEES AND AWARDS
- 13000. Code of Arbitration Procedure for Industry Disputes
- PART I INTERPRETIVE MATERIAL, DEFINITIONS, ORGANIZATION AND AUTHORITY
- PART II GENERAL ARBITRATION RULES
- PART III INITIATING AND RESPONDING TO CLAIMS
- PART IV APPOINTMENT, DISQUALIFICATION, AND AUTHORITY OF ARBITRATORS
- PART V PREHEARING PROCEDURES AND DISCOVERY
- PART VI HEARINGS; EVIDENCE; CLOSING THE RECORD
- PART VII TERMINATION OF AN ARBITRATION BEFORE AWARD
- PART VIII SIMPLIFIED ARBITRATION; DEFAULT PROCEEDINGS; SEXUAL ASSAULT CLAIMS, SEXUAL HARASSMENT CLAIMS, OR STATUTORY EMPLOYMENT DISCRIMINATION CLAIMS; INJUNCTIVE RELIEF; EXPUNGEMENT PROCEEDINGS; AND PROMISSORY NOTE PROCEEDINGS
- PART IX FEES AND AWARDS
- 14000. Code of Mediation Procedure
