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  • 1120. Member Application Process

    • 1122. Filing of Misleading Information as to Membership or Registration

      No member or person associated with a member shall file with FINRA information with respect to membership or registration which is incomplete or inaccurate so as to be misleading, or which could in any way tend to mislead, or fail to correct such filing after notice thereof.
      Amended by SR-FINRA-2009-009 eff. Aug. 17, 2009.

      Selected Notice: 09-33.