(a) When a member has actual notice that a FINRA employee has a financial interest in, or controls trading in, an account, the member shall promptly obtain and implement an instruction from the employee directing the member to provide duplicate account statements to FINRA.
(b) Members shall not directly or indirectly make any loan of money or securities to any FINRA employee. However,
A member who in the capacity of paying agent, transfer agent, trustee, or in any other similar capacity, has received information as to the ownership of securities, shall under no circumstances make use of such information for the purpose of soliciting purchases, sales or exchanges except at the request and on behalf of the issuer.
Cross Reference–Rule 2150. Improper Use of Customers'
(a) Limitation on Distribution and Solicitation Activities
No covered member shall engage in distribution or solicitation activities for compensation with a government entity on behalf of an investment adviser that provides or is seeking to provide investment advisory services to such government entity within two years after a contribution to an official of the government entity is made by
No member shall effect any transaction in, or induce the purchase or sale of, any security by means of any manipulative, deceptive or other fraudulent device or contrivance.
Cross References–
2111, Suitability5210, Publication of Transactions and Quotations
Amended by SR-FINRA-2008-028 eff. Dec. 15, 2008.Selected Notice: 08-57.
ul.rulebook{list-style-type:none;padding-left:0px;}
ul.rulebook ul.rulebook{list-style-type:none;padding-left:30px;}
ul.rulebook ul.rulebook ul.rulebook{list-style-type:none;padding-left:60px;}
ul.rulebook ul.rulebook ul.rulebook ul.rulebook{list-style-type:none;padding-left:90px;}
p.rulebook, ul.rulebook li{margin-top:20px;text-transform:uppercase;font-weight:400}
#tab-links, .book{display:none
No member or person associated with a member shall file with FINRA information with respect to membership or registration which is incomplete or inaccurate so as to be misleading, or which could in any way tend to mislead, or fail to correct such filing after notice thereof.
Amended by SR-FINRA-2009-009 eff. Aug. 17, 2009.Selected Notice: 09-33.
