Expand All IM-1000-1. Filing of Misleading Information as to Membership or Registration IM-1000-2. Status of Persons Serving in the Armed Forces of the United States IM-1000-3. Failure to Register Personnel IM-1000-4. Branch Offices and Offices of Supervisory Jurisdiction 1010. Membership Proceedings 1011. Definitions IM-1011-1. Safe Harbor for Business Expansions 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 Alternext US LLC Member Organizations 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 Commission for Review 1020. Registration of Principals 1021. Registration Requirements 1022. Categories of Principal Registration 1030. Registration of Representatives 1031. Registration Requirements 1032. Categories of Representative Registration 1040. Registration of Assistant Representatives and Proctors 1041. Registration Requirements for Assistant Representatives 1042. Restrictions for Assistant Representatives 1050. Registration of Research Analysts 1060. Persons Exempt from Registration 1070. Qualification Examinations and Waiver of Requirements 1080. Confidentiality of Examinations 1090. Foreign Members 1100. Foreign Associates 1110. Reserved 1120. Continuing Education Requirements 1130. Reliance on Current Membership List 1140. Electronic Filing Rules 1150. Executive Representative 1160. Contact Information Requirements Book traversal links for 1000. MEMBERSHIP, REGISTRATION AND QUALIFICATION REQUIREMENTS ‹ MEMBERSHIP AND REGISTRATION RULES (1000) Up IM-1000-1. Filing of Misleading Information as to Membership or Registration ›
