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.
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Examples of FINRA Rule 2030 in a sentence

  • Rule 206(4)-5; Engaging in Distribution and Solicitation Activities with Government Entities, FINRA Rule 2030.

  • 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.

  • 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”).

  • CAB Rule 203 would provide that all capital acquisition brokers are subject to existing FINRA Rule 2030.

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

  • FINRA Rule 2030, Rule 206(4)-5 of the Advisers Act and some state and local pay-to- play laws outline a person cannot make a contribution indirectly that is prohibited if made directly.

  • Initially, New York and Tennessee GOP leaders challenged the U.S. Securities and Exchange Commission’s (“SEC”) power to implement FINRA Rule 2030 (the “Rule”) preventing pay-to-play practices by investment advisers.

  • This Policy is designed to avoid pay to play issues, prevent conflicts of interest, or the appearance of conflicts of interest, in alignment with SEC Rule 206(4)-5, FINRA Rule 2030, and/or other similar regulations.

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

  • Because MSRB Rule G-37 is identical in every constitutionally relevant way to FINRA Rule 2030, Blount compels our holding for the SEC in this indistinguishable case.

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.

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

  • PRA Rules means the Rules included within the PRA handbook issued by the PRA.

  • SEC Rule 145 means Rule 145 promulgated by the SEC under the Securities Act.

  • Rule 15c2-12 means Rule 15c2-12 under the Securities Exchange Act of 1934, as amended through the date of this Undertaking, including any official interpretations thereof.

  • NASD means the National Association of Securities Dealers, Inc.

  • Securities Commissions means collectively, the applicable securities commission or securities regulatory authority in each of the Qualifying Jurisdictions;

  • Investor Money Regulations means the Central Bank (Supervision and Enforcement) Act 2013 (Section 48(1)) Investor Money Regulations 2015 for Fund Service Providers;

  • Rule 173 “Rule 405”, “Rule 415”, “Rule 424”, “Rule 430B” and “Rule 433” refer to such rules under the Act.

  • Securities Exchange Act means the Securities Exchange Act of 1934, as amended.

  • Securities Exchange Act of 1934 means the United States Securities Exchange Act of 1934, as from time to time amended.

  • Canadian Securities Commissions means the securities regulatory authorities in each of the Qualifying Jurisdictions;

  • SEC Rule means Rule 15c2-12 adopted by the Securities and Exchange Commission under the Securities Exchange Act of 1934.

  • Securities Trading Act means the Securities Trading Act of 2007 no.75 of the Relevant Jurisdiction.

  • National Securities Exchange means an exchange registered with the Commission under Section 6(a) of the Exchange Act or any successor thereto.

  • Securities Commission means the applicable securities commission or regulatory authority in each of the Qualifying Jurisdictions;

  • Securities Financing Transactions Regulation means Regulation (EU) 2015/2365 of the European Parliament and of the Council of 25 November 2015 on transparency of securities financing transactions and of reuse and amending Regulation (EU) No 648/2012 (as amended from time to time);

  • EU Bail-In Legislation Schedule means the EU Bail-In Legislation Schedule published by the Loan Market Association (or any successor person), as in effect from time to time.

  • Dealer Manager Fee means the fee from the sale of Shares in a Primary Offering, payable to the Dealer Manager for serving as the dealer manager of such Primary Offering.

  • securities dealer means a person or entity that is authorized under provincial legislation to engage in the business of dealing in securities or any other financial instruments or to provide portfolio management or investment advising services.

  • securities lending transactions means transactions whereby a Sub-Fund lends its Securities to a security-borrowing counterparty for an agreed fee.

  • FSA Rules meanss the rules, guidance, principles and codes comprised in the Handbook of Rules and Guidance issued by the FSA.

  • Applicable Securities Legislation means applicable securities laws (including rules, regulations, policies and instruments) in each of the applicable provinces and territories of Canada;

  • Commodity Futures Trading Commission means the independent regulatory agency established by congress to administer the Commodity Exchange Act.