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.

  • Political Contributions by Certain Investment Advisors, Rule 206(4)-5; Engaging in Distribution and Solicitation Activities with Government Entities, FINRA Rule 2030.

  • Proposed FINRA Rule 2030 further requires firms to report promptly to FINRA any circumstance which reasonably would lead the firm to believe that any rumour covered by the rule might have been originated or circulated.

  • Consultation on this version of FINRA Rule 2030 concluded on 16 July 2009.

  • 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.

  • FINRA previously solicited comment on a proposal to adopt consolidated FINRA Rule 2030 that would have transferred Incorporated NYSE Rule 435 and Rule Interpretation 435(5)/01 with significant changes.

  • In June 2009, the US Financial Industry Regulatory Authority (FINRA) released Regulatory Notice 09-29 ‘Origination and circulation of rumours’ seeking comments on a proposed rule relating to the origination and circulation of rumours (FINRA Rule 2030).

  • The current version of FINRA Rule 2030 proposes a general prohibition on the origination or circulation of rumours and retains an amended reporting requirement for firms that are the recipients of rumours.

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

  • The proposed Supplementary Material to the rule includes a definition of ‘rumour’ for the purposes of FINRA Rule 2030.

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;

  • 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 commissions or similar securities regulatory authorities in each of the provinces and territories of Canada;

  • 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 to such Section).

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

  • 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.

  • FSA Rules meanss the rules, guidance, principles and codes comprised in the Handbook of Rules and Guidance issued by the FSA. The parties understand and agree that such categorisation is not intended to, and does not, affect the relationship between and among the parties under the 1940 Act or the Advisers Act.

  • 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.

  • Selling Commissions means any and all commissions payable to underwriters, dealer managers or other broker-dealers in connection with the sale of Shares, including, without limitation, commissions payable to the Dealer Manager.

  • CSD Regulations means the CSD’s rules and regulations applicable to the Issuer, the Agent and the Notes from time to time.

  • U.S. Exchange Act means the United States Securities Exchange Act of 1934, as amended;