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(a) FINRA will request guidance from the MSRB in interpretation of the rules of the MSRB. FINRA also will provide information to the MSRB about the enforcement actions and examinations pertaining to municipal securities brokers, municipal securities dealers, and municipal advisors conducted by FINRA regarding the Exchange Act and the rules and regulations thereunder and the rules of the MSRB,
(a) For purposes of this Rule, the terms "exempted securities" and "municipal securities" shall have the meanings specified in Sections 3(a)(12) and 3(a)(29) of the Exchange Act, respectively.
(b) The Rules are not intended to be, and shall not be construed as, rules concerning transactions in municipal securities.
(c) Unless otherwise indicated within a particular Rule, the
(a) The Rules shall apply to all members and persons associated with a member. Persons associated with a member shall have the same duties and obligations as a member under the Rules.
(b) A member or person associated with a member, who has been expelled, canceled or revoked from membership or from registration, or who has been barred from being associated with all members, shall cease to
The Rules shall be interpreted in light of the purposes sought to be achieved by the Rules and to further FINRA's regulatory programs.
Cross Reference–
Resolution under Article XI, Section 1, of the By-Laws: Interpretations and Explanations
Amended by SR-FINRA-2008-026 eff. Dec. 15, 2008.Selected Notice: 08-57.
The Rules shall become effective as provided in Article XI, Section 1, of the FINRA By-Laws.
Amended by SR-FINRA-2008-026 eff. Dec. 15, 2008.
Amended by SR-NASD-98-86 eff. Nov. 19, 1998.
The Rules are adopted pursuant to Article VII, Section 1, of the FINRA By-Laws.
Amended by SR-FINRA-2008-026 eff. Dec. 15, 2008.Selected Notice: 08-57.
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0110. ADOPTION OF RULES
0120. EFFECTIVE DATE
0130. INTERPRETATION
0140. APPLICABILITY
0150. APPLICATION OF RULES TO EXEMPTED SECURITIES EXCEPT MUNICIPAL SECURITIES
0151. COORDINATION WITH THE MSRB
0160. DEFINITIONS
0170. DELEGATION, AUTHORITY AND ACCESS
0180. APPLICATION OF RULES TO SECURITY-BASED SWAPS
0190. EFFECTIVE DATE OF REVOCATION, CANCELLATION, EXPULSION, SUSPENSION OR
(a) Each firm electing to subscribe to the Web CRD Electronic File Transfer (EFT) System for registration batch filing and/or data download will be assessed an annual subscription fee based on the type of service that the firm uses. The fee schedule to be paid by each firm is as follows:
(1) Data Download — $1,800.00
(2) Form Filing — $3,600.00
(3) Data Download and Form Filing — $4,800.00
(a) There shall be a service charge imposed on all members who file with the association a request for an extension of time pursuant to the provisions of Section 220.4(c)(3) of Regulation T and/or paragraph (n) of Rule 15c3-3 under the Act.
(b) The service charge for processing each initial extension of time request and for all subsequent extension of time requests (1) involving the same
(a) There shall be a fee imposed for the filing of initial documents relating to any offering filed with FINRA pursuant to the Corporate Financing Rule equal to: (1) $500 plus .015% of the proposed maximum aggregate offering price or other applicable value of all securities registered on an SEC registration statement or included on any other type of offering document (where not filed with the SEC