FINRA Manual: Contents
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4000. FINANCIAL AND OPERATIONAL RULES
4500. BOOKS, RECORDS AND REPORTS
4510. Books and Records Requirements
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4517. Member Filing and Contact Information Requirements
(a) Each member shall be required to file with FINRA, or otherwise submit to FINRA, in such electronic format as FINRA may require, all regulatory notices or other documents required to be filed or otherwise submitted to FINRA, as specified by FINRA.
(b) Each member must identify, review and, if necessary, update its executive representative designation and contact information as required by Article IV, Section 3 of the FINRA By-Laws in the manner prescribed by this Rule.
(c) Each member shall report and update to FINRA all contact information required by FINRA via the Firm Gateway or such other means as FINRA may specify.
(1) Each member shall update its required contact information promptly, but in any event not later than 30 days following any change in such information. In addition, each member shall review and, if necessary, update its required contact information within 17 business days after the end of each calendar year.
(2) Each member shall comply with any FINRA request for the required contact information promptly, but in any event not later than 15 days following the request, or such longer period that may be agreed to by FINRA staff.
Amended by SR-FINRA-2015-004 eff. Feb. 12, 2015.
Amended by SR-NASD-2007-034 eff. Dec. 31, 2007.
Amended by SR-NASD-2006-060 eff. Dec. 6, 2006.
Adopted by SR-NASD-2003-184 eff. May 14, 2004.
Selected Notices: 06-61, 07-42.