View Whole Section Print Print Manager Link
Previous Next

1000. MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION


View whole section

Contents:
1010. Electronic Filing Requirements for Uniform Forms
1011. Definitions
1012. General Provisions
1013. New Member Application and Interview
1014. Department Decision
1015. Review by National Adjudicatory Council
1016. Discretionary Review by FINRA Board
1017. Application for Approval of Change in Ownership, Control, or Business Operations
1018. Reserved
1019. Application to the SEC for Review
1020. Approval of Change in Exempt Status Under SEA Rule 15c3-3
1021. Foreign Members
1100. MEMBER APPLICATION
1200. REGISTRATION AND QUALIFICATION