Examples of FINRA Rules in a sentence

The Placement Agent reserves the right to reduce any item of compensation or adjust the terms thereof as specified herein in the event that a determination shall be made by FINRA to the effect that the Placement Agent’s aggregate compensation is in excess of FINRA Rules or that the terms thereof require adjustment.
The Placement Agent reserves the right to reduce any item of compensation or adjust the terms thereof as specified herein in the event that a determination shall be made by FINRA to the effect that the Placement Agents’ aggregate compensation is in excess of FINRA Rules or that the terms thereof require adjustment.
In accordance with the FINRA Rules, the parties acknowledge and agree that the Placement Agent has not directly or indirectly offered favorable research, a specific rating or a specific price target, or threatened to change research, a rating or a price target, to the Company or inducement for the receipt of business or compensation.
The Placement Agent reserves the right to reduce any item of compensation or adjust the terms thereof as specified herein in the event that a determination is made by FINRA to the effect that the Placement Agent’s aggregate compensation is in excess of that permitted by FINRA Rules or that the terms thereof require adjustment.
The Broker also hereby agrees to abide by the rules of FINRA, including FINRA Rules 2040, 2111, 2121, 2310, 5110 and 5141.

More Definitions of FINRA Rules

FINRA Rules means the rules adopted by FINRA or its predecessor, the National Association of Securities Dealers, Inc., and approved by the SEC, as in effect at any given time.

FINRA Rules means the rules set forth in the FINRA Manual.

FINRA Rules means the Constitution, By-Laws, and Rules of Fair Practice of FINRA and any interpretations thereof.

FINRA Rules shall have the meaning assigned thereto in Section 3(d)(xiv) hereof.

FINRA Rules means the rules of FINRA, including Rules 5130 and 5131, as the same may from time to time be amended;