View Whole SectionText only Print Print Manager Link
Previous Next

Rule 416A. Member And Member Organization Profile Information Updates And Quarterly Certifications Via The Electronic Filing Platform

This rule is no longer applicable. Incorporated NYSE Rules have been superseded by Temporary Dual FINRA-NYSE member Rule Series.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) Members and member organizations must furnish the Exchange with all of the profile information required by the Exchange's Electronic Filing Platform ("EFP"), and must comply with any Exchange request for such information promptly, but in any event not later than thirty days following such request.
(b) Members and member organizations must update their required membership profile information promptly, but in any event not later than thirty days following any change in such information.
(c) Each member and member organization shall designate to the Exchange an appropriate senior officer as referenced in Rule 351(e), or his or her designee, as its membership profile contact person.
(d) Each member or member organization shall certify electronically once during each of the months of March, June, September, and December of every year that it has reviewed its required membership profile information, and that such information is complete and accurate.
Amended:
November 24, 2004 (NYSE-2004-48).

Previous Next