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You searched for: Buy-in from FINRA Manual- sorted by relevance.
Results 1 to 20 of 58
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1 - [IM-11810.] Sample Buy-In Forms
NASD Rules  >> PROCEDURAL RULES (8000–14000)  >> 11000. UNIFORM PRACTICE CODE  >> 11800. CLOSE-OUT PROCEDURES 
2 - [Rule 282.] Buy-in Procedures (Effective from Jul 30 2009)
Incorporated NYSE Rules  >> Dealings and Settlements (Rules 45–299C)  >> Closing Contracts (Rules 280–295) 
3 - [94-39] Treasury Implements Buy-In Requirements For Government Securities
Notices  >> 1994 
4 - [Rule 290.] Defaulting Party May Deliver After "Buy-In" Notice (Effective from Nov 11 2008)
Retired Rules  >> Retired NYSE Rules  >> Dealings and Settlements (Rules 45-299C)  >> Closing Contracts (Rules 280-295) 
5 - [90-15] Amendment to Uniform Practice Code Regarding Buy-In Procedures, Effective February 1, 1990
Notices  >> 1990 
6 - [89-56] Proposed Amendments To Nasd Uniform Practice Code Re: Mandatory Buy-In for Short Sales; Last Date for Comments: September 1, 1989
Notices  >> 1989 
7 - [96-8] SEC Approves Amendments To Section 59 Of The Uniform Practice Code Clarifying Delivery Deadlines That May Be Specified In Buy-In Notices
Notices  >> 1996 
8 - [11810.] Buying-In
NASD Rules  >> PROCEDURAL RULES (8000–14000)  >> 11000. UNIFORM PRACTICE CODE  >> 11800. CLOSE-OUT PROCEDURES 
9 - [Rule 289.] Must Receive Delivery (Effective from Nov 11 2008)
Retired Rules  >> Retired NYSE Rules  >> Dealings and Settlements (Rules 45-299C)  >> Closing Contracts (Rules 280-295) 
10 - [11810.] (continued) Buying-In (Effective from Mar 13 2008)
NASD Rules  >> PROCEDURAL RULES (8000–14000)  >> 11000. UNIFORM PRACTICE CODE  >> 11800. CLOSE-OUT PROCEDURES 
11 - [89-44] Amendment to Uniform Practice Code Re: Mandatory Buy-Ins for Cash or Guaranteed Delivery, Effective June 1, 1989
Notices  >> 1989 
12 - [86-59] Request for Comments on a Proposed Amendment to the Uniform Practice Code, Section 59, Close-Out Procedure; Buying-in
Notices  >> 1986 
13 - [91-41] Department of Treasury Proposes Significant Amendments to the Regulations Issued on July 24, 1987 Under the Government Securities Act of 1986; Last Date for Comments: June 17, 1991
Notices  >> 1991 
14 - [00-45] NASD Announces Changes To SEC Rule 15c3-3 Extension Request Reason Codes (Correction: On p. 1, the 2nd para under Key Features should read: Under SEC Rule 15c3-3 Rule Type d2, d3 and h, entry of Issue Symbol or CUSIP is required)
Notices  >> 2000 
15 - [83-69] Amendments to the Uniform Practice Code to Extend Applicability of the Code to Secondary Market Transactions in Unit investment Trust Securities
Notices  >> 1983 
16 - [93-86] SEC Approves Amendment to Section 65(f)(1) of the Uniform Practice Code Relating to Resolution of Fails Resulting From Account Transfers;
Notices  >> 1993 
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