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Rules
Any member of FINRA that is also a member of the New York Stock Exchange LLC ("NYSE") ("Dual Member") (including any persons affiliated with such member) may be subject to a fine under Rule 9216(b) with respect to any rule or By-Law provision listed in this Rule that applies to such member or person. However, any Dual Member that was not also a member of NASD as of July 30, 2007 and that does not engage in any activities that otherwise would require it to be a FINRA…
Rule
Immediately Effective Rule Changes Pending SEC Notification
Rule
Rule
Unless otherwise provided, terms used in the Rule 1000 Series shall have the meaning as defined in Rule 0160.
(a) "Applicant"
The term "Applicant" means a person that applies for membership in FINRA under Rule 1013 or a member that files an application for approval of a change in ownership, control, or business operations under Rule 1017.
(b) "Associated Person"
The term "Associated Person" means: (1) a natural person registered under FINRA rules; or (2) a sole…
Rule
The safe harbor for business expansions in IM-1011-1 is not available to any member that is seeking to add one or more Associated Persons involved in sales and one or more of those Associated Persons has a Covered Pending Arbitration Claim (as defined in Rule 1011(c)(1)), an unpaid arbitration award or unpaid settlement related to an arbitration; in such circumstances, if the member is not otherwise required to file a Form CMA in accordance with Rule 1017, the member must…
Rule
(a) Filing of Application
(1) How to File
An Applicant for FINRA membership shall file its application with the Department in the manner prescribed by FINRA. An Applicant shall submit an application that includes:
(A) Form NMA;
(B) an original signed and notarized paper Form BD, with applicable schedules;
(C) an original FINRA-approved fingerprint card for each Associated Person who will be subject to SEA Rule 17f-2;
(D) a new member assessment report;
(E) a…
Rules
(a) Standards for Admission
After considering the application, the membership interview, other information and documents provided by the Applicant, other information and documents obtained by the Department, and the public interest and the protection of investors, the Department shall determine whether the Applicant meets each of the following standards:
(1) The application and all supporting documents are complete and accurate.
(2) The Applicant and its Associated…
Rule
To the extent that the Applicant or Associated Person is subject to unpaid arbitration awards, other adjudicated customer awards, unpaid arbitration settlements or, for new member applications, pending arbitration claims, the Applicant may submit with an application documentation that evidences the ability to satisfy all such awards, settlements or claims through supporting documentation. Such documentation may include an escrow agreement, insurance coverage, a clearing…
Rule
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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
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.…
Rule
(a) Events Requiring Application
A member shall file an application for approval of any of the following changes to its ownership, control, or business operations:
(1) a merger of the member with another member, unless both are members of the New York Stock Exchange, Inc. or the surviving entity will continue to be a member of the New York Stock Exchange, Inc.;
(2) a direct or indirect acquisition by the member of another member, unless the acquiring member is a member…
Rules
(a) Definitions
All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to FINRA Rule 1011.
(b) Safe Harbor for Business Expansions
All capital acquisition brokers are subject to FINRA IM-1011-1 and IM-1011-2.
(c) General Provisions
All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to FINRA Rule 1012.
Amended by SR-FINRA-2019-030 eff. Sept. 14…