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Aug 20 2009 - Apr 27 2011Apr 28 2011 onwards

Schedule A to the FINRA Regulation By-Laws

The number and territorial boundaries of the several districts and their respective regions, established as provided in Article VIII, Section 8.1, are as follows:
Districts
District No. 1 State of Hawaii; in the State of California, the Counties of Monterey, San Benito, Fresno and Inyo, and the remainder of the State North or West of such Counties; and in the State of Nevada, the Counties of Esmeralda and Nye, and the remainder of the State North or West of such Counties.
District No. 2 In the State of California, that part of the State South or East of the Counties of Monterey, San Benito, Fresno and Inyo; and, in the State of Nevada, that part of the State South or East of the Counties of Esmeralda and Nye, and all Pacific possessions and territories of the United States.
District No. 3 States of Alaska, Arizona, Colorado, Idaho, Montana, New Mexico, Oregon, Utah, Washington and Wyoming.
District No. 4 States of Iowa, Kansas, Minnesota, Missouri, Nebraska, North Dakota and South Dakota.
District No. 5 States of Alabama, Arkansas, Louisiana, Mississippi, Oklahoma and Tennessee.
District No. 6 State of Texas.
District No. 7 States of Florida, Georgia, North Carolina, and South Carolina, Puerto Rico and the Virgin Islands.
District No. 8 States of Illinois, Indiana, Kentucky, Michigan, Ohio and Wisconsin.
District No. 9 The District of Columbia, and the States of Delaware, Maryland, New Jersey, Pennsylvania, Virginia, West Virginia, and New York (except for the five Boroughs of New York City and the Counties of Nassau and Suffolk).
District No. 10 In the State of New York, the five Boroughs of New York City and the Counties of Nassau and Suffolk.
District No. 11 States of Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, and Vermont.
Regions
Midwest Region: Districts 4 and 8
New York Region: District 10
North Region: Districts 9 and 11
South Region: Districts 5, 6 and 7
West Region: Districts 1, 2 and 3
Amended by SR-FINRA-2011-011 eff. April 28, 2011.
Adopted by SR-FINRA-2009-020 eff. Aug. 20, 2009.

Selected Notice: 09-39.

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