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FINRA Manual: Contents
FINRA Manual
Corporate Organization
FINRA Rules
0100. GENERAL STANDARDS
1000.
MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION
2000. DUTIES AND CONFLICTS
3000.
SUPERVISION AND RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS
4000.
FINANCIAL AND OPERATIONAL RULES
5000. SECURITIES OFFERING AND TRADING STANDARDS AND PRACTICES
6000. QUOTATION AND TRANSACTION REPORTING FACILITIES
7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, AND FACILITY CHARGES
8000. INVESTIGATIONS AND SANCTIONS
9000. CODE OF PROCEDURE
10000. CODE OF ARBITRATION PROCEDURE
11000.
UNIFORM PRACTICE CODE
11100. SCOPE OF UNIFORM PRACTICE CODE
11200. COMPARISONS OR CONFIRMATIONS AND "DON'T KNOW NOTICES"
11300. DELIVERY OF SECURITIES
11400. DELIVERY OF SECURITIES WITH DRAFT ATTACHED
11500. DELIVERY OF SECURITIES WITH RESTRICTIONS
11600. DELIVERY OF BONDS AND OTHER EVIDENCES OF INDEBTEDNESS
11700. RECLAMATIONS AND REJECTIONS
11800.
CLOSE-OUT PROCEDURES
11900. Clearance of Corporate Debt Securities
12000. CODE OF ARBITRATION PROCEDURE FOR CUSTOMER DISPUTES
13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES
14000. CODE OF MEDIATION PROCEDURE
NASD Rules
Incorporated NYSE Rules
Incorporated NYSE Rule Interpretations
Notices
Immediately Effective Rule Changes Pending SEC Notification
Recently Approved Rule Changes Pending Determination of Effective Date
Retired Rules
Connected by Complinet
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11000.
UNIFORM PRACTICE CODE
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11000.
UNIFORM PRACTICE CODE
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Contents:
11100. SCOPE OF UNIFORM PRACTICE CODE
11110. Committees
11120. Definitions
11130. When, As and If Issued/Distributed Contracts
11140. Transactions in Securities "Ex-Dividend," "Ex-Rights" or "Ex-Warrants"
11150. Transactions "Ex-Interest" in Bonds Which Are Dealt in "Flat"
11160. "Ex" Liquidating Payments
11170. Transactions in "Part-Redeemed" Bonds
11190. Reconfirmation and Pricing Service Participants
11200. COMPARISONS OR CONFIRMATIONS AND "DON'T KNOW NOTICES"
11210. Sent by Each Party
11220. Description of Securities.
11300. DELIVERY OF SECURITIES
11310. Book-Entry Settlement
11320. Dates of Delivery
11330. Payment
11340. Stamp Taxes
11350. Part Delivery
11360. Units of Delivery
11400. DELIVERY OF SECURITIES WITH DRAFT ATTACHED
11410. Acceptance of Draft
11500. DELIVERY OF SECURITIES WITH RESTRICTIONS
11510. Delivery of Temporary Certificates
11520. Delivery of Mutilated Securities
11530. Delivery of Securities Called for Redemption or Which Are Deemed Worthless
11540. Delivery Under Government Regulations
11550. Assignments and Powers of Substitution; Delivery of Registered Securities
11560. Certificate of Company Whose Transfer Books Are Closed
11570. Certificates in Various Names
11580. Transfer of Limited Partnership Securities
11600. DELIVERY OF BONDS AND OTHER EVIDENCES OF INDEBTEDNESS
11610. Liability for Expenses
11620. Computation of Interest
11630. Due-Bills and Due-Bill Checks
11640. Claims for Dividends, Rights, Interest, etc.
11650. Transfer Fees
11700. RECLAMATIONS AND REJECTIONS
11710. General Provisions
11720. Irregular Delivery — Transfer Refused — Lost or Stolen Securities
11730. Called Securities
11740. Marking to the Market
11800.
CLOSE-OUT PROCEDURES
11810.
Buy-In Procedures and Requirements
11820. Selling-Out
11840. Rights and Warrants
11860.
COD Orders
11870. Customer Account Transfer Contracts
11880. Settlement of Syndicate Accounts
11890.
Clearly Erroneous Transactions
11900. Clearance of Corporate Debt Securities
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Corporate Organization
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