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Rule 10 "Registered Representative"

SR-FINRA-2017-007 has been approved by the SEC. Effective October 1, 2018, this rule will no longer be applicable. Please consult the appropriate FINRA rule.

/01 Persons Not Required To Be Registered

Persons associated with a member organization whose functions are solely and exclusively clerical or ministerial will not be required to register with the Exchange. Examples of persons not required to register include wire operators, (i.e., member organization order room personnel who deal exclusively and on a non-discretionary basis with other personnel of the same organization), customer service personnel who do not take orders directly from the public and who take note of customer inquiries and seek to administratively resolve them, as well as certain other operations, administrative and support personnel.

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