Rule 435(5)T Circulation of Rumors
/01 Responsibility of Personnel
Rule 435(5)T, which prohibits the circulation of rumors, extends personal responsibility for its observation to all member organization personnel.
Rule 408T Discretionary Power in Customers' Accounts
/01 Automatic Money Market Fund Redemptions
Rule 401T Business Conduct
/01 Trading Against Firm Recommendations
Reserved.
/02 Private Sales
Reserved.
/03 Conversions, Acquisitions and Changes in Business Activities
Rule 435T. Miscellaneous Prohibitions
No member or member organization shall:
Rule 416AT. Member And Member Organization Profile Information Updates And Quarterly Certifications Via The Electronic Filing Platform
(a) Members and member organizations must furnish the Exchange with all of the profile information required by the Exchange's Electronic Filing Platform ("EFP"), and must comply with any Exchange request for such information promptly, but in any event not later than thirty days following such request.
(b) Members and member organizations must update their required membership profile information promptly, but in any event not later than thirty days following any change in such information.