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  • 3520. Emergency Contact Information

    SR-FINRA-2009-036 has been approved by the SEC. Effective December 14, 2009, this rule will no longer be applicable. Please consult the appropriate FINRA rule.

    (a) Each member shall report to NASD, via such electronic or other means as NASD may specify, prescribed emergency contact information for the member. The emergency contact information for the member includes designation of two emergency contact persons. Each emergency contact person shall be a member of senior management and a registered principal of the member.

    (b) Each member must promptly update its emergency contact information, via such electronic or other means as NASD may specify, in the event of any material change. With respect to the designated emergency contact persons, each member must identify, review, and, if necessary, update such designations in the manner prescribed by Rule 1160.
    Amended by SR-NASD-2007-034 eff. Dec. 31, 2007.
    Adopted by SR-NASD-2002-108 eff. June 14, 2004.

    Selected Notices: 04-37, 07-42.