1000. MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION

1010. Electronic Filing Requirements for Uniform Forms

• 1011. Definitions
  • IM-1011-1. Safe Harbor for Business Expansions
  • IM-1011-2. Business Expansions and Covered Pending Arbitration Claims
  • IM-1011-3. Business Expansions and Persons with Specified Risk Events
• 1012. General Provisions
• 1013. New Member Application and Interview
  • IM-1013-1. Membership Waive-In Process for Certain New York Stock Exchange Member Organizations
  • IM-1013-2. Membership Waive-In Process for Certain NYSE American LLC Member Organizations
• 1014. Department Decision
  • IM-1014-1. Evidence of Ability to Satisfy Unpaid Arbitration Awards, Other Adjudicated Customer Awards, Unpaid Arbitration Settlements or, for New Member Applications, Pending Arbitration Claims
• 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
  • 1120. Member Application Process
  • 1122. Filing of Misleading Information as to Membership or Registration
• 1200. REGISTRATION AND QUALIFICATION
  • 1210. Registration Requirements
  • 1220. Registration Categories
  • 1230. Associated Persons Exempt from Registration
  • 1240. Continuing Education Requirements