1022. Categories of Principal Registration
This rule is no longer applicable. NASD Rule 1022 has been superseded by FINRA Rule 1200 Series. Please consult the appropriate FINRA Rule.
1021. Registration Requirements
This rule is no longer applicable. NASD Rule 1021 has been superseded by FINRA Rule 1200 Series. Please consult the appropriate FINRA Rule.
1020. Registration of Principals
This rule is no longer applicable. NASD Rule 1020 has been superseded by FINRA Rule 1200 Series. Please consult the appropriate FINRA Rule.
IM-1000-4. Branch Offices and Offices of Supervisory Jurisdiction
This rule is no longer applicable. NASD IM-1000-4 has been superseded by FINRA Rule 3110. Please consult the appropriate FINRA Rule.
IM-1000-3. Failure to Register Personnel
This rule is no longer applicable. NASD IM-1000-3 has been superseded by FINRA Rule 1200 Series. Please consult the appropriate FINRA Rule.
The failure of any member to register an employee, who should be so registered, as a Registered Representative may be deemed to be conduct inconsistent with just and equitable principles of trade and when discovered may be sufficient cause for appropriate disciplinary action.
IM-1000-2. Status of Persons Serving in the Armed Forces of the United States
This rule is no longer applicable. NASD IM-1000-2 has been superseded by FINRA Rule 1200 Series. Please consult the appropriate FINRA Rule.
IM-1000-1. Filing of Misleading Information as to Membership or Registration
This rule is no longer applicable. NASD IM-1000-1 has been superseded by FINRA Rule 1122. Please consult the appropriate FINRA Rule.
0130. Delegation, Authority and Access
This rule is no longer applicable. NASD Rule 0130 has been superseded by FINRA Rule 0170. Please consult the appropriate FINRA Rule.