The Rule 9000 Series is the Code of Procedure and includes proceedings for disciplining a member or person associated with a member; proceedings for regulating the activities of a member experiencing financial or operational difficulties; proceedings for
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Unless otherwise defined in the Code, terms used in the Code and interpretive material, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws.
Continue reading >>15 U.S. Code § 80b–2 – Definitions (2) “Bank” means (A) a banking institution organized under the laws of the United States or a Federal savings association, as defined in section 1462 (5) of title 12, (B) a member bank of the Federal Reserve Sys
Continue reading >>15 U.S. Code § 80b–2 - Definitions Current through Pub. L. 113-99. “Assignment” includes any direct or indirect transfer or hypothecation of an investment advisory contract by the assignor or of a controlling block of the assignor’s outstanding vot
Continue reading >>Definitions-person associated with an investment adviser 15 U.S. Code § 80b–2 - Definitions (17) The term “person associated with an investment adviser” means any partner, officer, or director of such investment adviser (or any person performing sim
Continue reading >>Investment supervisory services,Means or instrumentality of interstate commerce,National securities exchange,Person 15 U.S. Code § 80b–2 - Definitions (12) “Investment company”, affiliated person, and “insurance company” have the same meanings
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