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FINRA Manual: Contents
FINRA Manual
Corporate Organization
Restated Certificate of Incorporation of National Association of Securities Dealers, Inc.
TRF LLC Agreements
Plan of Allocation and Delegation of Functions by NASD to Subsidiaries
By-Laws of the Corporation
ARTICLE I DEFINITIONS
ARTICLE II OFFICES
ARTICLE III QUALIFICATIONS OF MEMBERS AND ASSOCIATED PERSONS
ARTICLE IV MEMBERSHIP
ARTICLE V REGISTERED REPRESENTATIVES AND ASSOCIATED PERSONS
ARTICLE VI DUES, ASSESSMENTS, AND OTHER CHARGES
ARTICLE VII BOARD OF GOVERNORS
ARTICLE VIII OFFICERS, AGENTS, AND EMPLOYEES
ARTICLE IX COMMITTEES
ARTICLE X COMPENSATION OF BOARD AND COMMITTEE MEMBERS
ARTICLE XI RULES
ARTICLE XII DISCIPLINARY PROCEEDINGS
ARTICLE XIII POWERS OF BOARD TO IMPOSE SANCTIONS
ARTICLE XIV UNIFORM PRACTICE CODE
ARTICLE XV LIMITATION OF POWERS
ARTICLE XVI PROCEDURE FOR ADOPTING AMENDMENTS TO BY-LAWS
ARTICLE XVII CORPORATE SEAL
ARTICLE XVIII CHECKS
ARTICLE XIX ANNUAL FINANCIAL STATEMENT
ARTICLE XX RECORD DATES
Fixing of Date by Board
Default Date
Adjournment
ARTICLE XXI MEETINGS OF MEMBERS
ARTICLE XXII TRANSITIONAL PERIOD
Schedule A to the By-Laws of the Corporation
By-Laws of FINRA Regulation, Inc.
By-Laws of NASD Dispute Resolution, Inc.
FINRA Rules
NASD Rules
Incorporated NYSE Rules
Incorporated NYSE Rule Interpretations
Notices
Immediately Effective Rule Changes Pending SEC Notification
Recently Approved Rule Changes Pending Determination of Effective Date
Retired Rules
Connected by Complinet
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ARTICLE XX RECORD DATES
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Fixing of Date by Board
Default Date
Adjournment
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TRF LLC Agreements
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