For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
This rule is no longer applicable. NASD Rule 11000 Series has been superseded by FINRA Rule 11000 Series. Please consult the appropriate FINRA Rule.
| DATE .................................................. | |
| TO: .................................................. | |
| RE: .................................................. | |
| (Quantity and Description) | |
| CUSIP # .................................................. | |
| For value received the undersigned hereby assigns, transfers and sets over to you all rights and privileges which may accrue on the above contract made on (Date of Contract) .......................... at (Contract Price) .......................... for settlement (Settlement Date). | |
| Upon acceptance of this delivery in lieu of physical certificates, we agree, for ourselves, our successors, assigns, heirs, executors and administrators, to at all times indemnify and hold harmless from and against any and all claims, liabilities, damages, taxes, charges and expense sustained or incurred by reason of this action. Acceptance of this delivery shall operate to close-out the above stated contract in accordance with the provisions of the NASD's Uniform Practice Code. | |
| .................................................. | |
| (Member Firm) | |
| .................................................. | |
| (Official Signature) | |
| If any questions, please contact ............................................................ at (Telephone Number) ........................................................................ | |
| Section amended effective September 1, 1969; March 1, 1970. |