Rule 421. Periodic Reports
This rule is no longer applicable. Incorporated NYSE Rule 421 has been superseded by FINRA Rule 4521. Please consult the appropriate FINRA Rule.
Member organizations shall submit, as required by the Exchange, periodic reports with respect to
Amendments. April 4, 1968 October 7, 1982 March 6, 2007 (NYSE-2006-111). Amended by SR-FINRA-2008-033 eff. Dec. 15, 2008. Selected Notice: 08-57. |
• • • Supplementary Material: --------------
Amendment. March 30, 1993. March 6, 2007 (NYSE-2006-111); amended by SR-FINRA-2007-025 effective December 5, 2007. Amended by SR-FINRA-2008-033 eff. Dec. 15, 2008. Selected Notice: 08-57. |
[Rescinded December 16, 1971.]
Member organizations carrying margin accounts for customers, unless specifically exempted by the Exchange, are required to submit Form R-1 on a settlement basis, preferably as of the last business day of the month (but in any event not earlier than the last Thursday of the month). Form R-1 specifies the following information applicable to public customers:
Each member organization carrying margin accounts for customers, unless specifically exempted by the Exchange, is required to submit a report each month. When a member organization has no information to submit, a report should be filed with a notation thereon to that effect.
Reports are due as promptly as possible after each firm's last business day of the month, but not later than the sixth day of the following month. All inquiries concerning this report should be made to the Exchange at 656-5050.
[Rescinded October 16, 1975, effective November 20, 1975.]
Amendments. December 11, 1975; effective March 12, 1976. January 27, 1995. March 6, 2007 (NYSE-2006-111). |