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Location: FINRA Manual > NASD Rules > MEMBERSHIP AND REGISTRATION RULES (1000)

MEMBERSHIP AND REGISTRATION RULES (1000)

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Contents:

1000. MEMBERSHIP, REGISTRATION AND QUALIFICATION REQUIREMENTS

IM-1000-2. Status of Persons Serving in the Armed Forces of the United States

IM-1000-3. Failure to Register Personnel

IM-1000-4. Branch Offices and Offices of Supervisory Jurisdiction

1010. Membership Proceedings

1020. Registration of Principals

1030. Registration of Representatives

1040. Registration of Assistant Representatives and Proctors

1050. Registration of Research Analysts

1060. Persons Exempt from Registration

1070. Qualification Examinations and Waiver of Requirements

1080. Confidentiality of Examinations

1090. Foreign Members

1100. Foreign Associates

1120. Continuing Education Requirements

1150. Executive Representative

1160. Contact Information Requirements