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Up to Nov 30 2014Dec 1 2014 onwards

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

This rule is no longer applicable. NASD IM-1000-4 has been superseded by FINRA Rule 3110. Please consult the appropriate FINRA Rule.

Each member is under a duty to insure that its membership application with the Association is kept current at all times by supplementary amendments to its original application and that any offices other than the main office are properly designated and registered, if required, with the Association.
Each member must designate to the Association those offices of supervisory jurisdiction, including the main office, and must register those offices which are deemed to be branch offices in accordance with the standards set forth in Rule 3010.
Amended by SR-NASD-2003-07 eff. March 24, 2003.
Amended by SR-NASD-98-46 eff. July 9, 1998.

Selected Notices: 85-48, 87-14, 87-53, 88-90, 88-96.

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