FINRA Rule 2030 definition

FINRA Rule 2030 means rule 2030, Engaging in Distribution and Solicitation Activities with Government Entities, promulgated by the Financial Industry Regulatory Authority, or any successor provision.
View Source

Examples of FINRA Rule 2030 in a sentence

  • Dealer represents that it is a broker-dealer registered with FINRA and subject to FINRA Rule 2030 (the “Rule”).

  • Moreover, the Selected Dealer represents that neither it nor any of its Covered Associates has made, directly or indirectly, any contributions that prohibit the Selected Dealer from engaging in solicitation activities for compensation under FINRA Rule 2030 (a “Triggering Contribution”).

  • If the Selected Dealer breaches this provision and becomes aware of a Triggering Contribution or a violation of FINRA Rule 2030, it shall promptly provide written notice to the Dealer Manager of the nature of the ban or violation.

  • The Selected Dealer ▇▇▇▇▇▇ agrees that neither it nor its Covered Associates will make a Triggering Contribution or violate FINRA Rule 2030 while engaged hereunder.

  • Broker represents that it is a broker-dealer registered with FINRA and (effective August 20, 2017) subject to FINRA Rule 2030 (“Rule 2030”).

  • OAS is a broker-dealer registered with FINRA and (effective August 20, 2017) subject to FINRA Rule 2030.

  • The Selected Dealer hereby agrees that neither it nor its Covered Associates will make a Triggering Contribution or violate FINRA Rule 2030 while engaged hereunder.

  • If OAS breaches this provision and becomes aware of a Triggering Contribution or a violation of FINRA Rule 2030, it shall promptly provide written notice to you of the nature of the ban or violation.

Related to FINRA Rule 2030

  • FINRA Rules means the Constitution, By-Laws, and Rules of Fair Practice of the Financial Industry Regulatory Authority, Inc. ("FINRA") and any interpretations thereof.

  • SEC Rule 144 means Rule 144 promulgated by the SEC under the Securities Act.

  • FINRA means the Financial Industry Regulatory Authority, Inc.

  • AIF Rulebook means the rulebook issued by the Central Bank as may be amended from time to time which sets out the Central Bank’s regulatory regime for AIFs and other relevant entities that fall to be regulated under the AIFMD.

  • NASD Rules means the Rules of the National Association of Securities Dealers, Inc., as amended from time to time.