1000. MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION
1010. Electronic Filing Requirements for Uniform Forms
- 1011. Definitions
- 1012. General Provisions
- 1013. New Member Application and Interview
- 1014. Department Decision
- 1015. Review by National Adjudicatory Council
- 1016. Discretionary Review by FINRA Board
- 1017. Application for Approval of Change in Ownership, Control, or Business Operations
- 1018. Reserved
- 1019. Application to the SEC for Review
- 1020. Approval of Change in Exempt Status Under SEA Rule 15c3-3
- 1021. Foreign Members
- 1100. MEMBER APPLICATION
- 1200. REGISTRATION AND QUALIFICATION
- Regulatory Notice 16-37October 17, 2016
- Regulatory Notice 14-09February 26, 2014