0150. Application of Rules to Exempted Securities Except Municipal Securities
(a) For purposes of this Rule, the terms "exempted securities" and "municipal securities" shall have the meanings specified in Sections 3(a)(12) and 3(a)(29) of the Exchange Act, respectively.
(b) The Rules are not intended to be, and shall not be construed as, rules concerning transactions in municipal securities.
(c) Unless otherwise indicated within a particular Rule, the following rules are applicable to transactions in, and business activities relating to, exempted securities, except municipal securities, conducted by members and associated persons: Rules 1020, 2010, 2020, 2060, 2111, 2122, 2150, 2210, 2211, 2212, 2231, 2232, 2261, 2268, 2269, 2320(g), 3110, 3210, 3220, 3260, 3270, 3280, 4120, 4130, 4210, 4311, 4330, 4360, 4510 Series, 4530, 5160, 5210, 5220, 5230, 5310, 5340, 6700 Series, 8110, 8120, 8210, 8310, 8311, 8312, 8320, 8330 and 9552.
(d) FINRA Rule 2121 is applicable to transactions in, and business activities relating to, exempted securities that are government securities.
| Amended by SR-FINRA-2019-009 eff. May 8, 2019. Amended by SR-FINRA-2016-027 eff. July 10, 2017. Amended by SR-FINRA-2017-004 eff. April 3, 2017. Amended by SR-FINRA-2016-036 eff. Sep. 30, 2016. Amended by SR-FINRA-2016-004 eff. Feb. 10, 2016. Amended by SR-FINRA-2015-033 eff. Dec. 14, 2015. Amended by SR-FINRA-2015-030 eff. Sept. 21, 2015. Amended by SR-FINRA-2014-045 eff. Dec. 1, 2014. Amended by SR-FINRA-2014-049 eff. Nov. 21, 2014. Amended by SR-FINRA-2014-016 eff. May 1, 2014. Amended by SR-FINRA-2013-001 eff. Feb. 4, 2013. Amended by SR-FINRA-2012-027 eff. July 9, 2012. Amended by SR-FINRA-2011-052 eff. May 31, 2012. Amended by SR-FINRA-2011-065 eff. Jan. 1, 2012. Amended by SR-FINRA-2011-065 eff. Dec. 5, 2011. Amended by SR-FINRA-2011-030 eff. Aug. 1, 2011. Amended by SR-FINRA-2011-024 eff. July 1, 2011. Amended by SR-FINRA-2010-060 eff. Dec. 15, 2010. Amended by SR-FINRA-2010-023 eff. June 14, 2010. Amended by SR-FINRA-2010-010 eff. April 19, 2010. Amended by SR-FINRA-2010-002 eff. Feb. 15, 2010. Amended by SR-FINRA-2010-002 eff. Feb. 8, 2010. Amended by SR-FINRA-2009-078 eff. Dec. 14, 2009. Amended by SR-FINRA-2009-062 eff. Oct. 19, 2009. Amended by SR-FINRA-2008-057 eff. Dec. 15, 2008. Amended by SR-FINRA-2008-026 eff. Dec. 15, 2008. Amended by SR-NASD-2003-110 eff. June 28, 2004. Adopted by SR-NASD-2000-38 eff. Oct. 28, 2001. Selected Notices: 01-63, 04-36, 08-57, 12-13, 16-03, 16-39. |