Search results with tag "Explanation of terms"

Form U4 and U5 Interpretive Questions

FORM U4 • Questions 14A and ... defined in the Explanation of Terms on the Forms. A violation must be designated as a Minor Rule Violation as part of a plan submitted to and approved by the SEC. Under FINRA Rule 9216 (formerly Article II, Section 10 of the Code of Procedure), a violation is considered a minor rule violation only if the

  Form, Terms, Finra, Explanation, Form u4, Explanation of terms