FINRA Manual: Contents
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2000. DUTIES AND CONFLICTS
2080. Obtaining an Order of Expungement of Customer Dispute Information from the Central Registration Depository (CRD) System
2300. SPECIAL PRODUCTS
2350. Trading in Index Warrants, Currency Index Warrants and Currency Warrants
2351. General Provisions Applicable to Trading in Index Warrants, Currency Index Warrants and Currency Warrants
2357. Communications with the Public and Customers Concerning Index Warrants, Currency Index Warrants and Currency Warrants
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The provisions of Rule 2360(b)(19) shall apply to recommendations by members and persons associated with members regarding the purchase or sale of index warrants, currency index warrants, or currency warrants. The term "option" as used therein shall be deemed to include such warrants for purposes of this Rule.
Amended by SR-FINRA-2008-032 eff. Feb. 17, 2009.
Adopted by SR-NASD-95-37 eff. Sept. 28, 1995.
Selected Notices: 95-82, 08-57, 08-78.