2000. DUTIES AND CONFLICTS
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1240. Continuing Education
This Rule prescribes requirements regarding the continuing education of registered persons. The requirements shall consist of a Regulatory Element and a Firm Element as set forth below.
1230. Associated Persons Exempt from Registration
The following persons associated with a member are not required to be registered with FINRA:
(a) persons associated with a member whose functions are solely and exclusively clerical or ministerial; and
(b) persons associated with a member whose functions are related solely and exclusively to:
(1) effecting transactions on the floor of a national securities exchange and w
1220. Registration Categories
(a) Definition of Principal and Principal Registration Categories
(1) Definition of Principal
A "principal" is any person associated with a member, including, but not limited to, sole proprietor, officer, partner, manager of office of supervisory jurisdiction, director or other person occupying a similar status or performing similar functions, who is actively engaged in the manag
1210. Registration Requirements
Each person engaged in the investment banking or securities business of a member shall be registered with FINRA as a representative or principal in each category of registration appropriate to his or her functions and responsibilities as specified in Rule 1220, unless exempt from registration pursuant to Rule 1230.
1122. Filing of Misleading Information as to Membership or Registration
No member or person associated with a member shall file with FINRA information with respect to membership or registration which is incomplete or inaccurate so as to be misleading, or which could in any way tend to mislead, or fail to correct such filing after notice thereof.
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1113. Restriction Pertaining to New Member Applications
This rule was introduced with the filing of SR-FINRA-2010-056 which has been approved by the SEC. The effective date for this rule has not yet been determined.