Rule 416T. Questionnaires and Reports
(a) Each member and member organization shall submit to the Exchange at such times as may be designated in such form and within such time period as may be prescribed such information as the Exchange deems essential for the protection of investors and the public interest.
(b) Reserved.
(c) Any report filed pursuant to this Rule containing material inaccuracies shall, for purposes of this rule, be deemed not to have been filed until a corrected copy of the report has been resubmitted.
| Amended by SR-FINRA-2008-034 eff. Jan. 1, 2008. |
Supplementary Material: --------------
.10 Member organizations may be required to provide financial and operational reports as required by paragraph (a) of this Rule for affiliated organizations, including but not limited to, persons referred to in Exchange Rules 321 and 322.
.20 Reserved.
| Amendment. August 31, 1993. March 30, 2001. Amended by SR-FINRA-2008-067 eff. Feb. 8, 2010. Amended by SR-FINRA-2019-009 eff. May 8, 2019. Selected Notice: 09-71. |