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| Application Review period after filing Form NMA |
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| "Seasoning" period for Regulation S (unregistered securities by US Based Issuers to non-US residents) to hold said securities before selling them, assuming these securities are for reporting companies… equity only. Debt is 40 days. |
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| Waiting period after failing FINRA Exam three times |
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| Any Freely Transferable Stock received by underwriters must be restricted for this many days from the effective date, unless the amoutn of securities received does not exceed 1% of the securities being offered, in which case the lock up period does not apply. |
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| If a firm doesn't obtain statements regarding quarterly analyst reporting, they must notify DEA and for this many days after must disclose in any research report by that analyst that he did not provide said certification. |
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| The amount of time an account is frozen after violating Regulation T (this is often called Freeriding) |
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| The Quiet Period after an IPO that a member firm acting as manager or comanager may not publish research. (10 Days for an additional Issue) |
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| Department of Member Regulation within this time will write a decision on application |
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| Waiting period after failing a FINRA Exam |
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| The waiting period for an intended acquisition or merger is this many days upon filing, under the Hart Scott Rodino act. |
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| A firm must wait this many business days AFTER the settlement date in order to buy in securities not delivered after a customers sell order. |
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| Quiet Period after an additional issue release that a member firm acting as manager or co-manager may not publish research. (40 days for an IPO) |
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| There is a restriction period of this many business days before the effective date of a Tier 3 Security under Rule101. During this time, Market Makers who are also syndicate members can either seek an excused withdrawal for this period, or elect to function as a passive Market Maker. |
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| Purchasing an additional issue offered to close a short position is prohibited for this many days. |
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| written notice of:Merger with member, Acquisition with member or non member, Material change in members business, change in equity ownership that results in one person or entity controlling 25% or more of the firm's equity. |
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| For the Qualification method of registration, issuers must generally file this many days before registration with the state Administrator. |
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| All classes of issuers are permitted to release communications to the public this many days before registration, providing they do not reference the upcoming offering |
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| Firms acting as Manager or CoManager may not publish a research report this many days before or after the expiration of lock up period in restricted shares. |
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| To qualify for an INTRAstate rule 147 offering, the issuer files Form 147 with SEC at least this many business days prior to the effective date of the offering. |
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| (PREFILING) CMO Options, Securities Futures, Investment Company Material with any rankings not generally recognized, or rankings created by them. |
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| For additional Issues, under the "Filing/Notification" method, an issuer must simply file the same prospectus filed with the SEC at least this many days before registration is effective. |
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| The bookrunning manager will make an announcement to the issuer and public at least this many days before the release of the lockup period for shares restricted. |
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| A firm must validate a customers account within this many days of receiving a request to transfer |
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| An employee, if asked, has this long after requested to provide a U5 form to his new employer. |
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| Within this many days, an investor in a registered offering must receive from the under writers a notice that the investor participated in a registered offering. |
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| A sale of insider owned securities must be reported to the SEC within this many days of the transaction. |
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| In Portfolio Margin accounts, where there is a Maintenance Call, the call must be met within this many business days (as opposed to 5 Business days in a conventional Margin account) |
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| A firm must complete an account transfer within this many days AFTER validation (which is 1 Business day) |
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| Within this many business days of a stabilizing bid, a syndicate member must provide stabilization information to the manager, and then daily afterwards. |
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| Analyst Cannot purchase stock within this many days AFTER research is released (30 days before) |
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| Extension requests for an introducing B/D are made by the clearing firm. To monitor this, FINRA requires Clearing firms to file monthly reports within this many days of month end, indicating which of its introducing firms requested extensions that exceeded 2% of their total transactions for the month. |
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| After a respondant replies to a Statement of Claim, the claimant has this many calendar days to reply to both respondant and Director with a reply. |
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| (POST FILING) Investment Company Material, DPPs, Government Securities |
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| (POST FILING) Investment Analysis Tools |
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| If a member who promotes a day trading strategy opens an account and receives assurance that the customer does not intend to engage in day trading, and then determines that they ARE day trading, the firm must approve the account within this many days. |
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| Member or APs violated Fed Securities Law, Subject of complaint alleging theft, misappropriation of funds, or forgery, Been suspected of expelled by another SRO, Are indicted, convicted, or plead guilty or no contest to ANY criminal offense (other than traffic), Become a defendant or respondant in any securities- or commodities-related litigation or arbitration settled for over 15k for individual, or 25k for firm, Subject of Statutory Disqualification, Subject of inhouse discipline involving suspension, termination, withholding of commissions, or fines in excess of 2500. |
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| Municipal B/D that has been contacted by a potential employer must furnish information to that employer within this many days of receiving the request |
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| A Firm must respond within this many days of a customers request for a copy of a predispute arbitration agreement that was signed on account opening. |
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| Within this amount of business days, a company targeted under a tender offer must provide its shareholders with a statement accepting or rejecting the offer and why. |
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| If no response from an RR in a Code of Procedure hearing, that RR has this many days to respond to the second notice before an automatic plea of guilty is entered on his behalf. |
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| Membership can be revoked with this many days of written notice from FINRA |
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| Firms acting as Manager or CoManager may not publish a research report this many days before or after the expiration of lock up period in restricted shares. |
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| Within this many days of the end of each calendar quarter, complaints must be filed with FINRA |
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| A Member has this many days to appeal a decision made by FINRA to be exempt from the Member Conduct Rules to the National Adjudicatory Council. |
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| Rule 503 requires that issuers of unregistered Reg D securities file form D (notice of Sales Made) with the SEC within this many days of first sale. If the offering continues over time, Form D must also be filed with the SEC within 30 days of the LAST sale. |
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| Rules 5122 and 5123 also require that a member firm offering an issuers secuities in Reg D (Private Placement), must file within this many days of the sale any Private Placement Memorandums used. Or, if no documents were used, this must too be stated. |
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| Firms must review and, if necessary, update Continuity Information within this many days of the end of the calendar year. |
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| Insiders are permitted to sell short against the box at the end of the year to lock in a gain and defer taxation as long as the positions are closed out within this many days. |
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| A Prehearing conference must be held within this many days of receipt of the respondants answer to the complaint. |
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| Within this many days of receiving a complaint from the Code of Procedure Hearing, an RR must file an answer with the hearing officer. |
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| In a Code of Procedure hearing, an appeal to a decision must be made to the NAC within this many days of decision date. |
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| Regular Updates to Form BD, U4, and U5 |
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| (or Promptly) Contact Info for principals in the Continuity Plan must be updated this long after change. |
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| A Firm must apply for a Limited Size and Resource Exception within this amount of time if their principals do not meet the criteria of Rule 3012 |
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| A firm must apply for an Exception to the Tape Rule within this many days of receiving written notice. |
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| Analyst Cannot purchase shares of security he recomments this many days before (or 5 Days after) |
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| Within this many days after each calender quarter, firms must make a record that includes a statement by the analyst that the views expressed in all public appearances during the quarter reflected the analysts view at that time. |
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| Within this many days, or sooner, a hearing officer in a Coder of Procedure hearing will supply a date in which sanctions are to be effective, except barring and expulsion which are immediate. |
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| All monetary awards from arbitration must be paid within this many days of the decision date. |
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| Within this many days of opening a new account, each retail customer must be furnished with a copy of their account record. (and at least once every 36 months there-after) |
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| Within this many days of updating an account record, the firm must send a copy of the updated accoutn to the customer. |
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| A cash dividend in a long margin account must be removed within this many days, or it is removed from SMA and credited to the Debit Balance |
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| New issues cannot trade on margin for this many days after trading in the secondary Market |
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| Offer of Recission must be accepted or rejected by customer within this many days of receipt |
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| If you sell a new issue stock within this many days of the offering date, you have engaged in Flipping, which is prohibited for Associated Persons or members according to Rule 5131 |
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| An issuer must file form 2-A within this many days of completing a Regulation A offering. |
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| In Simplified Arbitration, a public arbitrator will review all evidence and rendor a binding decision within this many business days |
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| As long as a firm makes a call from the Do Not Call list within this many days from last receiving the list, there is no violation. |
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| If in DvP, delivery is delayed due to mechanics of transaction, the member has this many calendar days from the trade date to obtain payment. |
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| Submit a report to Firms board of directors after CEO's annual certification of supervising compliance procedures |
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| A party to an unresolved dispute will file a statement of claim with the director of FINRA, who will send it to the respondant. The respondant must respond to both the director and the claimant within this many days. |
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| Within this many days of the END OF THE YEAR during which a position is held, form 13-G must be filed by Investment Companies indicating that they own a 5% interest or more of a given issue. |
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| When a registered person leaves one firm to go to another, the new firm must receive the U5 within this many days. (from the employee or FINRA, not former firm) |
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| A firm has this many days to get their gear ready after advised by FINRA to follow the Tape Rule |
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| After a Code of Procedure hearing, panelists will convene and within this many days will rendor a decision reflecting the majority view. |
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| In most states, a Guardian account must be opened within this many days of that person being appointed guardian by the courts. (this doc is called Certificate of Incumbancy) |
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| A Firm must Buy In securities to close out a failed to deliver sell order by this many days, or it prohibited from selling that security as a principal and buying that security as an agent for a customer. |
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| Registered Rep must be registered as Principal within this time if given additional responsibilities such as managing, training, or supervision |
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| Active Military RR's registration timline begins again this long after completion of Active Service |
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| Settlement of corporate syndicate accoutns must be settled within this many days after the issuer delivers the securities to the syndicate. This would also be the de-facto time limit for a Stabilizing bid. |
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| Sarbanes Oxley says that principal executive officer and principal financial officer must certify that they have reviewed all financial reports and have evaluated their internal controls within the previous (this many) days and have reported on the findings. |
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| ConEd must be completed within this many days of an RR's 2 year registration anniversary, and 3 years afterward. |
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| After this many days written notice, the NAC has the right to suspect a member and revoke the registration of any AP if they fail to comply with a request for information in an investigation. |
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| Tender offer must remain open for at least this many business days from the date the offer is first announced. (if offer is changed, revised offer must remain open for at least 10 business days from the day the offer is changed, but still not shorter than the original amount of business days asked in this question). |
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| The amount of time a prospectus of a NASDAQ traded security is required to be available after it's effective date in an IPO. |
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| Any Location used less than this many days annually for securities business is not a branch |
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| The amount of time a prospectus of an OTC traded security is required to be available after it's effective date in ADDITIONAL offerings. |
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| The amount of time a prospectus of an OTC traded security is required to be available after it's effective date in an IPO. |
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| When Required, Form 144 must be filed no later than with the sale of the stock and it is good for this many days. |
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| Form 8K is filed within this many business days of an event of consequence |
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| Form 10K is filed within this many days of year end |
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| Form 10Q is filed within this many days of the end of the quarter |
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| Form 13D is filed within this many days of acquiring a 5% or more beneficial ownership of an issuer for Insiders |
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| Form 13G is filed witin this many days of the calendar year after acquiring a 5% or more beneficial ownership of an issuer for Investment Companies |
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| Form 4 must be filed within this many days of any change in ownership of an insider's stock. |
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| Form 3 must be filed within this many days after becoming an insider. |
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| Form 13F must be filed within this many days of the end of the calendar quarter by institutional investment managers who have discretion over $100 million in securities. |
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