• Rules 6181 and 6623 — Failure to timely report transactions in NMS, OTC and restricted equity securities.

• Rules 6182 and 6624 — Failure to accurately mark short sale transactions in NMS and OTC equity securities.

• Rule 6250 — Failure to comply with quote and order access requirements for FINRA's Alternative Display Facility.

• Rule 6760 — Failure to give timely or complete notification concerning offerings of TRACE-Eligible Securities.

• Rule 7430 — Failure to synchronize business clocks used for recording date and time as required by applicable FINRA By-laws and rules.

• Rules 7440 and 7450 — Failure to submit data in accordance with the Order Audit Trail System ("OATS").

• Rules 8211 and 8213 — Failure to submit trading data as requested.

• Rule 11870 — Failure to abide by Customer Account Transfer Contracts.

• NASD Rules 1021(d) — Failure to timely register.

• NASD Rule 1150 — Failure to review and update executive representative designation and contact information.

• NASD Rule 1160 — Failure to report or update contact information.

• NASD IM-2210-2 — Communications with the public.

• NASD Rule 3010 — Failure to maintain adequate written supervisory procedures where the underlying conduct is subject to Rule 9217.

• NASD Rule 3010(b)(2) — Failure to timely file reports pursuant to the Taping Rule.

• Failure to provide or update contact information as required by FINRA or NASD rules.

• SEA Rules 17a-3(a) and 17a-4 — Record retention rule violations.

• SEA Rule 10b-10 — Confirmation of Transactions.

• SEA Rule 17a-5 — Failure to timely file FOCUS reports and annual audit reports.

• SEA Rule 17a-10 — Failure to timely file Schedule I.

• Rule 200(g) of SEC Regulation SHO — Failure to accurately mark sell orders of equity securities.

• Rule 602(b)(5) of SEC Regulation NMS — Failure to properly update published quotations in certain Electronic Communication Networks ("ECNs").

• Rule 604 of SEC Regulation NMS — Failure to properly display limit orders.

• Rule 605(a)(1) and (3) of SEC Regulation NMS — Failure to timely report or provide complete order execution information.

• Rule 606 of SEC Regulation NMS — Failure to timely disclose or provide complete order routing information.

• MSRB Rule A-14 — Failure to timely pay annual fee.

• MSRB Rules G-2 and G-3 (b)(ii)(D) and (c)(ii)(D) — Failure to timely register.

• MSRB Rule G-3(h) — Failure to comply with the continuing education requirements.

• MSRB Rule G-6 — Failure to maintain adequate fidelity bond coverage.

• MSRB Rules G-8 and G-9 — Record retention rule violations.

• MSRB Rule G-10(a) — Failure to deliver investor brochure to customers promptly.

• MSRB Rule G-12 — Failure to abide by uniform practice rules.

• MSRB Rule G-14 — Failure to submit reports.

• MSRB Rule G-21 — Advertising.

• MSRB Rule G-27(c) — Failure to maintain adequate written supervisory procedures where the underlying conduct is subject to Rule 9217.

• MSRB Rule G-32 — Failure to timely submit reports.

• MSRB Rule G-37 — Failure to timely submit reports for political contributions.

• MSRB Rule G-38 — Failure to timely submit reports detailing consultant activities.

• MSRB Rule G-40(a) and (c) — Failure to designate and update electronic mail contact information for communications with MSRB.

• NYSE Rules 312(a), (b) and (c), 313, 345.12, 345.17, and 351 — Reporting rule violations.

• NYSE Rules 312(i), 342(c), and 342.10 — Failure to obtain approval rule violations.

• NYSE Rules 342(b), (d) and 342.13, 311(b)(5), and 344 — Failure of a member organization to have individuals responsible and qualified for the positions of Financial Principal, Operations Principal, Compliance Official, Branch Office Manager and Supervisory Analyst.

• NYSE Rule 343 — Requirements relating to member organization office sharing arrangements.

• NYSE Rule 345(a) — Failure of a member organization to have individuals responsible and qualified for the positions of Securities Lending Supervisor and Securities Trader Supervisor.
• NYSE Rules 345.11, and 472(c) — Record retention rule violations.

• NYSE Rule 401A — Failure to acknowledge customer complaint within 15 business days.

• NYSE Rule 407 — Requirements for transactions of employees of the Exchange, members or member organizations.

• NYSE Rule 407A — Reporting and notification requirements for members.

• NYSE Rule 408(a) — Requirement that written authorization be obtained for discretionary power in a customer's account.

• NYSE Rule 416A — Failure to promptly provide or promptly update required membership profile information through the Electronic Filing Platform ("EFP"), or failure to electronically certify that required membership profile information is complete and accurate.

9220. Request for Hearing; Extensions of Time, Postponements, Adjournments

9221. Request for Hearing

(a) Respondent Request for Hearing.