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1
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{
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"id": "ccfb3e76-8fed-48e3-a475-9ccd8edaa328",
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3
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"uuid": "ccfb3e76-8fed-48e3-a475-9ccd8edaa328",
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"rule_id": "ccfb3e76-8fed-48e3-a475-9ccd8edaa328",
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5
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"rulereserve_nodes": "*",
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6
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"version_standard_url": "https://semver.org/",
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"dwds_schema_version": "0.0.0",
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"properties": {
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9
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"id": "ccfb3e76-8fed-48e3-a475-9ccd8edaa328"
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10
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},
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11
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"metadata": {
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"rule": {
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13
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"120_title": "3240. Borrowing From or Lending to Customers",
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14
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"240_summary": "FINRA Rules\n3000. SUPERVISION AND RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS\n3200. RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS",
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"960_explanation": "This rule specifies conditions on borrowing from or lending when the creditor or borrower is are registered with the same FINRA member entity, and when the creditor or borrower from the same family. It also specifies when notifications and approvals are required, and the lengths of time that documents must be preserved.",
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"version": "0.1.0",
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"criticality": "experimental",
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"url": "https://www.finra.org/rules-guidance/rulebooks/finra-rules/3240",
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"pattern": "",
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"pattern_version": "",
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"rulemaker_entity": [
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{
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"name": "Financial Industry Regulatory Authority (FINRA)",
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"url": "https://www.finra.org",
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"ssid": "",
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"uuid": "e86f123c-ba13-4ef2-87ce-e27da9b62812"
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}
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],
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"rulemaker_manager": [
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{
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"name": "Robert L.D. Colby",
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"email": "[email protected]",
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"contact": "",
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"uuid": "566c5ff3-c5fb-41ea-a077-6786b65fb744"
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}
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],
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"rulemaker_author": [
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{
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"name": "Joseph Potvin",
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40
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"email": "[email protected]",
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41
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"contact": "",
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42
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"uuid": "090841ea-6bd9-47dc-a411-5d08d11e40bd"
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}
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],
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"rulemaker_maintainer": [
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{
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"name": "Joseph Potvin",
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48
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"email": "[email protected]",
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49
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"contact": "",
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50
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"uuid": "8f416ecd-32d5-4acb-a6b2-6a26bcb94514"
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}
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]
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}
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},
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"in_effect": [
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{
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"country": "US",
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"subcountry": "",
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"timezone": {
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"start": "UTC+05:00",
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"end": "UTC+05:00"
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},
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"start": "2010-06-12T05:00:01.000Z",
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64
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"end": "2029-06-13T04:59:59.000Z"
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}
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],
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67
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"category_applicable": {
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68
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"industry": [
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{
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"isic_code": "6611",
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"isic_name": "Administration of financial markets"
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},
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{
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"isic_code": "6419",
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"isic_name": "Other monetary intermediation"
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},
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{
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"isic_code": "6492",
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"isic_name": "Other credit granting"
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}
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],
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"good_service_asset": [
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{
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"unspsc_code": "64110000",
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"unspsc_name": "Securities"
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},
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{
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"unspsc_code": "84121800",
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"unspsc_name": "Securities and commodities markets services"
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},
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{
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"unspsc_code": "64101900",
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"unspsc_name": "Account based credit products "
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}
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]
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},
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"data_sources": [],
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"input_conditions": [
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{
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"sentence": [
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{
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"determiner": "This"
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},
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{
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"noun": "person (registrant)"
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},
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{
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"predicate_verb": "is"
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},
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{
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"description": "registered as a customer "
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},
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{
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"attribute": "of a FINRA member entity,"
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},
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{
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"past_participle_verb": "as validated in the FINRA member entity's registry."
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}
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],
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"scenarios": {
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"A": "11",
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"B": "01",
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"C": "01",
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"D": "01",
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"E": "01",
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"F": "01",
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"G": "01",
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"H": "01",
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"I": "01",
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"J": "01",
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"K": "01",
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"L": "01",
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"M": "01",
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"N": "01"
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}
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},
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{
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"sentence": [
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{
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"determiner": "This"
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},
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{
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"noun": "registrant (lender),"
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},
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{
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"predicate_verb": "is initiating, modifying or extending"
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},
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{
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"description": " a loan"
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},
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{
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"attribute": "of money,"
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},
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{
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"past_participle_verb": "as posted in the FINRA member entity's transaction management system."
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}
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],
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"scenarios": {
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"A": "00",
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"B": "01",
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"C": "01",
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"D": "01",
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"E": "01",
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"F": "01",
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"G": "01",
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"H": "01",
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"I": "01",
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"J": "01",
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"K": "01",
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"L": "01",
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"M": "01",
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"N": "01"
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}
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},
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{
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"sentence": [
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{
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"determiner": "This"
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},
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{
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"noun": "FINRA member entity"
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},
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{
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"predicate_verb": "has"
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},
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{
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"attribute": "procedures"
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},
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{
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"description": "for loans between its registrants,"
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},
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{
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"past_participle_verb": "as published in its rules of operation."
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}
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],
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"scenarios": {
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"A": "00",
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"B": "00",
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"C": "01",
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"D": "01",
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"E": "01",
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"F": "01",
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"G": "01",
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"H": "01",
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"I": "01",
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"J": "01",
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"K": "01",
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"L": "01",
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"M": "01",
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"N": "01"
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}
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},
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{
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"sentence": [
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{
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"determiner": "This"
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},
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{
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"noun": "FINRA member entity"
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},
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{
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"predicate_verb": "has"
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},
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{
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"description": "waived requirements for notification or approval"
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},
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227
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{
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"attribute": "for providing or to receiving loans between its registrants,"
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},
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{
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"past_participle_verb": "as documented in its procedures for loans."
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}
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],
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"scenarios": {
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"A": "00",
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"B": "00",
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"C": "01",
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"D": "00",
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"E": "01",
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"F": "00",
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241
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"G": "01",
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"H": "00",
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"I": "01",
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"J": "00",
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"K": "01",
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"L": "00",
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"M": "01",
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248
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"N": "00"
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}
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|
},
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251
|
{
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252
|
"sentence": [
|
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{
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"determiner": "This"
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255
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},
|
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256
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{
|
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257
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"noun": "FINRA member entity"
|
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258
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},
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259
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{
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260
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"predicate_verb": "has"
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261
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},
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{
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263
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"description": "issued pre-approval"
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264
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},
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265
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{
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266
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"attribute": "to provide or to receive a loan from another registrant,"
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267
|
},
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268
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{
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269
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"past_participle_verb": "as communicated in writing to this registrant."
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}
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],
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272
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"scenarios": {
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273
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"A": "00",
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"B": "00",
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"C": "00",
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276
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"D": "01",
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277
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"E": "00",
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278
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"F": "01",
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279
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"G": "00",
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280
|
"H": "01",
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281
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"I": "00",
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282
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"J": "01",
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283
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"K": "00",
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284
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"L": "01",
|
|
285
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"M": "00",
|
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286
|
"N": "01"
|
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287
|
}
|
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288
|
},
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289
|
{
|
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290
|
"sentence": [
|
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|
{
|
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292
|
"determiner": "This"
|
|
293
|
},
|
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294
|
{
|
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295
|
"noun": "lender"
|
|
296
|
},
|
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297
|
{
|
|
298
|
"past_participle_verb": ""
|
|
299
|
},
|
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300
|
{
|
|
301
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"predicate_verb": "is"
|
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302
|
},
|
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303
|
{
|
|
304
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"description": "providing this loan to a relative or dependent"
|
|
305
|
},
|
|
306
|
{
|
|
307
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"attribute": " of this lender (the borrower)."
|
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308
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}
|
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309
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],
|
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310
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"scenarios": {
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311
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"A": "00",
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312
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"B": "00",
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313
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"C": "01",
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314
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"D": "01",
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315
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"E": "11",
|
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316
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"F": "11",
|
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317
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"G": "11",
|
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318
|
"H": "11",
|
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319
|
"I": "11",
|
|
320
|
"J": "11",
|
|
321
|
"K": "11",
|
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322
|
"L": "11",
|
|
323
|
"M": "11",
|
|
324
|
"N": "11"
|
|
325
|
}
|
|
326
|
},
|
|
327
|
{
|
|
328
|
"sentence": [
|
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329
|
{
|
|
330
|
"determiner": "The"
|
|
331
|
},
|
|
332
|
{
|
|
333
|
"noun": "terms of this loan,"
|
|
334
|
},
|
|
335
|
{
|
|
336
|
"predicate_verb": " are"
|
|
337
|
},
|
|
338
|
{
|
|
339
|
"description": " similar"
|
|
340
|
},
|
|
341
|
{
|
|
342
|
"attribute": "to the lender's usual commercial terms for loans,"
|
|
343
|
},
|
|
344
|
{
|
|
345
|
"past_participle_verb": "as the terms are posted in the transaction management system."
|
|
346
|
}
|
|
347
|
],
|
|
348
|
"scenarios": {
|
|
349
|
"A": "00",
|
|
350
|
"B": "00",
|
|
351
|
"C": "11",
|
|
352
|
"D": "11",
|
|
353
|
"E": "01",
|
|
354
|
"F": "01",
|
|
355
|
"G": "11",
|
|
356
|
"H": "11",
|
|
357
|
"I": "11",
|
|
358
|
"J": "11",
|
|
359
|
"K": "11",
|
|
360
|
"L": "11",
|
|
361
|
"M": "11",
|
|
362
|
"N": "11"
|
|
363
|
}
|
|
364
|
},
|
|
365
|
{
|
|
366
|
"sentence": [
|
|
367
|
{
|
|
368
|
"determiner": "This"
|
|
369
|
},
|
|
370
|
{
|
|
371
|
"noun": "lender"
|
|
372
|
},
|
|
373
|
{
|
|
374
|
"predicate_verb": "is"
|
|
375
|
},
|
|
376
|
{
|
|
377
|
"description": " regularly in the business"
|
|
378
|
},
|
|
379
|
{
|
|
380
|
"attribute": "of providing credit, financing, or loans,"
|
|
381
|
},
|
|
382
|
{
|
|
383
|
"past_participle_verb": "as the registrant has self-declared in the FINRA member entity's registry."
|
|
384
|
}
|
|
385
|
],
|
|
386
|
"scenarios": {
|
|
387
|
"A": "00",
|
|
388
|
"B": "00",
|
|
389
|
"C": "11",
|
|
390
|
"D": "11",
|
|
391
|
"E": "11",
|
|
392
|
"F": "11",
|
|
393
|
"G": "01",
|
|
394
|
"H": "01",
|
|
395
|
"I": "11",
|
|
396
|
"J": "11",
|
|
397
|
"K": "11",
|
|
398
|
"L": "11",
|
|
399
|
"M": "11",
|
|
400
|
"N": "11"
|
|
401
|
}
|
|
402
|
},
|
|
403
|
{
|
|
404
|
"sentence": [
|
|
405
|
{
|
|
406
|
"determiner": "This"
|
|
407
|
},
|
|
408
|
{
|
|
409
|
"noun": " lender and borrower"
|
|
410
|
},
|
|
411
|
{
|
|
412
|
"predicate_verb": "are"
|
|
413
|
},
|
|
414
|
{
|
|
415
|
"description": " both registered persons"
|
|
416
|
},
|
|
417
|
{
|
|
418
|
"attribute": " of the same FINRA member entity,"
|
|
419
|
},
|
|
420
|
{
|
|
421
|
"past_participle_verb": " as validated in the FINRA member entity's registry."
|
|
422
|
}
|
|
423
|
],
|
|
424
|
"scenarios": {
|
|
425
|
"A": "00",
|
|
426
|
"B": "00",
|
|
427
|
"C": "11",
|
|
428
|
"D": "11",
|
|
429
|
"E": "11",
|
|
430
|
"F": "11",
|
|
431
|
"G": "11",
|
|
432
|
"H": "11",
|
|
433
|
"I": "01",
|
|
434
|
"J": "01",
|
|
435
|
"K": "11",
|
|
436
|
"L": "11",
|
|
437
|
"M": "11",
|
|
438
|
"N": "11"
|
|
439
|
}
|
|
440
|
},
|
|
441
|
{
|
|
442
|
"sentence": [
|
|
443
|
{
|
|
444
|
"determiner": "This"
|
|
445
|
},
|
|
446
|
{
|
|
447
|
"noun": "lender"
|
|
448
|
},
|
|
449
|
{
|
|
450
|
"predicate_verb": "is issuing "
|
|
451
|
},
|
|
452
|
{
|
|
453
|
"description": "the loan"
|
|
454
|
},
|
|
455
|
{
|
|
456
|
"attribute": "based upon a personal relationship with the borrower,"
|
|
457
|
},
|
|
458
|
{
|
|
459
|
"past_participle_verb": "as this registrant has self-declared in the transaction management system."
|
|
460
|
}
|
|
461
|
],
|
|
462
|
"scenarios": {
|
|
463
|
"A": "00",
|
|
464
|
"B": "00",
|
|
465
|
"C": "11",
|
|
466
|
"D": "11",
|
|
467
|
"E": "11",
|
|
468
|
"F": "11",
|
|
469
|
"G": "11",
|
|
470
|
"H": "11",
|
|
471
|
"I": "11",
|
|
472
|
"J": "11",
|
|
473
|
"K": "01",
|
|
474
|
"L": "01",
|
|
475
|
"M": "11",
|
|
476
|
"N": "11"
|
|
477
|
}
|
|
478
|
},
|
|
479
|
{
|
|
480
|
"sentence": [
|
|
481
|
{
|
|
482
|
"determiner": "This"
|
|
483
|
},
|
|
484
|
{
|
|
485
|
"noun": "lender"
|
|
486
|
},
|
|
487
|
{
|
|
488
|
"predicate_verb": "is issuing"
|
|
489
|
},
|
|
490
|
{
|
|
491
|
"description": "the loan"
|
|
492
|
},
|
|
493
|
{
|
|
494
|
"attribute": "based upon a separate business relationship,"
|
|
495
|
},
|
|
496
|
{
|
|
497
|
"past_participle_verb": "as this registrant has self-declared in the transaction management system."
|
|
498
|
}
|
|
499
|
],
|
|
500
|
"scenarios": {
|
|
501
|
"A": "00",
|
|
502
|
"B": "00",
|
|
503
|
"C": "11",
|
|
504
|
"D": "11",
|
|
505
|
"E": "11",
|
|
506
|
"F": "11",
|
|
507
|
"G": "11",
|
|
508
|
"H": "11",
|
|
509
|
"I": "11",
|
|
510
|
"J": "11",
|
|
511
|
"K": "11",
|
|
512
|
"L": "11",
|
|
513
|
"M": "01",
|
|
514
|
"N": "01"
|
|
515
|
}
|
|
516
|
}
|
|
517
|
],
|
|
518
|
"output_assertions": [
|
|
519
|
{
|
|
520
|
"sentence": [
|
|
521
|
{
|
|
522
|
"predicate_verb": "Allow"
|
|
523
|
},
|
|
524
|
{
|
|
525
|
"determiner": "this"
|
|
526
|
},
|
|
527
|
{
|
|
528
|
"noun": "registrant"
|
|
529
|
},
|
|
530
|
{
|
|
531
|
"description": "to initiate, modify or extend"
|
|
532
|
},
|
|
533
|
{
|
|
534
|
"attribute": "a loan to another registrant,"
|
|
535
|
},
|
|
536
|
{
|
|
537
|
"past_participle_verb": "as proposed."
|
|
538
|
}
|
|
539
|
],
|
|
540
|
"scenarios": {
|
|
541
|
"A": "00",
|
|
542
|
"B": "00",
|
|
543
|
"C": "10",
|
|
544
|
"D": "10",
|
|
545
|
"E": "10",
|
|
546
|
"F": "10",
|
|
547
|
"G": "10",
|
|
548
|
"H": "10",
|
|
549
|
"I": "10",
|
|
550
|
"J": "10",
|
|
551
|
"K": "10",
|
|
552
|
"L": "10",
|
|
553
|
"M": "10",
|
|
554
|
"N": "10"
|
|
555
|
}
|
|
556
|
},
|
|
557
|
{
|
|
558
|
"sentence": [
|
|
559
|
{
|
|
560
|
"predicate_verb": "Allow"
|
|
561
|
},
|
|
562
|
{
|
|
563
|
"determiner": "this"
|
|
564
|
},
|
|
565
|
{
|
|
566
|
"noun": "registrant"
|
|
567
|
},
|
|
568
|
{
|
|
569
|
"description": "to borrow money from, or lend money to"
|
|
570
|
},
|
|
571
|
{
|
|
572
|
"attribute": "another resistrant,"
|
|
573
|
},
|
|
574
|
{
|
|
575
|
"past_participle_verb": "as proposed."
|
|
576
|
}
|
|
577
|
],
|
|
578
|
"scenarios": {
|
|
579
|
"A": "00",
|
|
580
|
"B": "00",
|
|
581
|
"C": "10",
|
|
582
|
"D": "10",
|
|
583
|
"E": "10",
|
|
584
|
"F": "10",
|
|
585
|
"G": "10",
|
|
586
|
"H": "10",
|
|
587
|
"I": "10",
|
|
588
|
"J": "10",
|
|
589
|
"K": "10",
|
|
590
|
"L": "10",
|
|
591
|
"M": "10",
|
|
592
|
"N": "10"
|
|
593
|
}
|
|
594
|
},
|
|
595
|
{
|
|
596
|
"sentence": [
|
|
597
|
{
|
|
598
|
"predicate_verb": "Require"
|
|
599
|
},
|
|
600
|
{
|
|
601
|
"determiner": "this"
|
|
602
|
},
|
|
603
|
{
|
|
604
|
"noun": "lender"
|
|
605
|
},
|
|
606
|
{
|
|
607
|
"description": "to notify this FINRA member entity"
|
|
608
|
},
|
|
609
|
{
|
|
610
|
"attribute": "of the loan"
|
|
611
|
},
|
|
612
|
{
|
|
613
|
"past_participle_verb": "that is proposed."
|
|
614
|
}
|
|
615
|
],
|
|
616
|
"scenarios": {
|
|
617
|
"A": "00",
|
|
618
|
"B": "00",
|
|
619
|
"C": "00",
|
|
620
|
"D": "01",
|
|
621
|
"E": "00",
|
|
622
|
"F": "01",
|
|
623
|
"G": "00",
|
|
624
|
"H": "01",
|
|
625
|
"I": "00",
|
|
626
|
"J": "01",
|
|
627
|
"K": "00",
|
|
628
|
"L": "01",
|
|
629
|
"M": "00",
|
|
630
|
"N": "01"
|
|
631
|
}
|
|
632
|
},
|
|
633
|
{
|
|
634
|
"sentence": [
|
|
635
|
{
|
|
636
|
"predicate_verb": "Require"
|
|
637
|
},
|
|
638
|
{
|
|
639
|
"determiner": "this"
|
|
640
|
},
|
|
641
|
{
|
|
642
|
"noun": "FINRA member entity"
|
|
643
|
},
|
|
644
|
{
|
|
645
|
"description": "to preserve the written pre-approval of the loan arrangement "
|
|
646
|
},
|
|
647
|
{
|
|
648
|
"past_participle_verb": "as it was posted in the transaction management system,"
|
|
649
|
},
|
|
650
|
{
|
|
651
|
"attribute": "for at least three years after the termination date of the loan."
|
|
652
|
}
|
|
653
|
],
|
|
654
|
"scenarios": {
|
|
655
|
"A": "00",
|
|
656
|
"B": "00",
|
|
657
|
"C": "00",
|
|
658
|
"D": "01",
|
|
659
|
"E": "00",
|
|
660
|
"F": "01",
|
|
661
|
"G": "00",
|
|
662
|
"H": "01",
|
|
663
|
"I": "00",
|
|
664
|
"J": "01",
|
|
665
|
"K": "00",
|
|
666
|
"L": "01",
|
|
667
|
"M": "00",
|
|
668
|
"N": "01"
|
|
669
|
}
|
|
670
|
},
|
|
671
|
{
|
|
672
|
"sentence": [
|
|
673
|
{
|
|
674
|
"predicate_verb": "Require"
|
|
675
|
},
|
|
676
|
{
|
|
677
|
"determiner": "this"
|
|
678
|
},
|
|
679
|
{
|
|
680
|
"noun": "FINRA member entity"
|
|
681
|
},
|
|
682
|
{
|
|
683
|
"description": "to preserve the written pre-approval of the loan arrangement"
|
|
684
|
},
|
|
685
|
{
|
|
686
|
"past_participle_verb": "as it was posted in the transaction management system,"
|
|
687
|
},
|
|
688
|
{
|
|
689
|
"attribute": "for at least three years after the termination date of the lender's or borrower's association with the FINRA member entity."
|
|
690
|
}
|
|
691
|
],
|
|
692
|
"scenarios": {
|
|
693
|
"A": "00",
|
|
694
|
"B": "00",
|
|
695
|
"C": "00",
|
|
696
|
"D": "01",
|
|
697
|
"E": "00",
|
|
698
|
"F": "01",
|
|
699
|
"G": "00",
|
|
700
|
"H": "01",
|
|
701
|
"I": "00",
|
|
702
|
"J": "01",
|
|
703
|
"K": "00",
|
|
704
|
"L": "01",
|
|
705
|
"M": "00",
|
|
706
|
"N": "01"
|
|
707
|
}
|
|
708
|
}
|
|
709
|
],
|
|
710
|
"output_weight": {
|
|
711
|
"character": "0",
|
|
712
|
"enforcement": "49",
|
|
713
|
"consequences": "49",
|
|
714
|
"rule_group": "regulation_or_directive"
|
|
715
|
},
|
|
716
|
"output_characteristics": {
|
|
717
|
"rulemaker_ruletaker_thirdparty": "rule-taker",
|
|
718
|
"affirmative_negative_interrogative": "have",
|
|
719
|
"be_do_have": "do",
|
|
720
|
"declarative_imperative_empirical": "imperative",
|
|
721
|
"logical_practical_ethical": "ethical",
|
|
722
|
"must_may_should": ""
|
|
723
|
}
|
|
724
|
}
|
-