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Nov 17 2007 - Feb 3 2013Feb 4 2013 onwards

IM-2210-4. Limitations on Use of FINRA's Name and Any Other Corporate Name Owned by FINRA

This rule is no longer applicable. NASD IM-2210-4 has been superseded by FINRA Rule 2210. Please consult the appropriate FINRA Rule.

Members may indicate FINRA membership in conformity with Article XV, Section 2 of the FINRA By-Laws in one or more of the following ways:
(1) in any communication with the public, provided that the communication complies with the applicable standards of Rule 2210 and neither states nor implies that FINRA, or any other corporate name or facility owned by FINRA, or any other regulatory organization endorses, indemnifies, or guarantees the member's business practices, selling methods, the class or type of securities offered, or any specific security;
(2) in a confirmation statement for an over-the-counter transaction that states: "This transaction has been executed in conformity with the NASD Uniform Practice Code."
(3) on a member's internet Web site provided that the member provides a hyperlink to FINRA's internet home page, www.finra.org, in close proximity to the member's indication of FINRA membership. A member is not required to provide more than one such hyperlink on its Web site. If the member's Web site contains more than one indication of FINRA membership, the member may elect to provide any one hyperlink in close proximity to any reference reasonably designed to draw the public's attention to FINRA membership. This provision also shall apply to an internet Web site relating to the member's investment banking or securities business maintained by or on behalf of any person associated with a member.
Amended by SR-FINRA-2007-014 eff. Nov. 17, 2007.
Amended by SR-NASD-2006-073 eff. July 7, 2007.
Amended by SR-NASD-2007-042 eff. June 27, 2007 (Implementation date of IM-2210-4 (3) is Oct 31, 2007).
Amended by SR-NASD-2004-123 eff. Aug. 10, 2004.
Amended by SR-NASD-2000-12 eff. Nov. 3, 2003.
Amended by SR-NASD-98-86 eff. Nov. 19, 1998.
Adopted by SR-NASD-97-28 eff. Aug. 7, 1997.

Selected Notices: 04-64, 07-02, 07-47.

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