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Location: FINRA Manual > NASD Rules > MEMBERSHIP AND REGISTRATION RULES (1000) > 1000. MEMBERSHIP, REGISTRATION AND QUALIFICATION REQUIREMENTS

1000. MEMBERSHIP, REGISTRATION AND QUALIFICATION REQUIREMENTS

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Contents:

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

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

1019. Application to Commission for Review

1020. Registration of Principals

1021. Registration Requirements

1022. Categories of Principal Registration

1030. Registration of Representatives

1031. Registration Requirements

1032. Categories of Representative Registration

1040. Registration of Assistant Representatives and Proctors

1041. Registration Requirements for Assistant Representatives

1042. Restrictions for Assistant Representatives

1043. Proctors of In-Firm Delivery of Regulatory Element

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