View Whole SectionText only Print Print Manager Link
Previous Next
  Versions
(2 versions)
 
Up to Feb 7 2010Feb 8 2010 onwards

Rule 416. Questionnaires and Reports

This rule is no longer applicable. Incorporated NYSE Rules have been superseded by Temporary Dual FINRA-NYSE member Rule Series. Please consult the appropriate FINRA Rule.

(a) Each member and member organization shall submit to the Exchange at such times as may be designated in such form and within such time period as may be prescribed such information as the Exchange deems essential for the protection of investors and the public interest.
(b) Reserved.
(c) Any report filed pursuant to this Rule containing material inaccuracies shall, for purposes of this rule, be deemed not to have been filed until a corrected copy of the report has been resubmitted.
Amended by SR-FINRA-2008-034 eff. Jan. 1, 2008.

• • • Supplementary Material: --------------

.10 Member organizations may be required to provide financial and operational reports as required by paragraph (a) of this Rule for affiliated organizations, including but not limited to, persons referred to in Rules 321 and 322.
.20 Reserved.

Amendment.
August 31, 1993.
March 30, 2001.
Amended by SR-FINRA-2008-067 eff. Feb. 8, 2010.

Selected Notice: 09-71.

Previous Next