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This Interpretive Material sets forth a membership waive-in process for certain NYSE American LLC ("NYSE American") member organizations to become members of FINRA as part of the acquisition by NYSE Euronext of the Amex Membership Corporation. It applies to any NYSE American member organization that (i) holds a valid 86 Trinity Permit as of the date such firm transfers its equities
This Interpretive Material sets forth a membership waive-in process for certain New York Stock Exchange ("NYSE") member organizations to become members of FINRA as part of the consolidation of the member firm regulatory functions of NASD and NYSE Regulation, Inc. ("NYSE Regulation"). It applies to firms that, as of July 25, 2007, (1) are approved NYSE member organizations or (
(a) Filing by Applicant or Service by FINRA
(1) An Applicant for membership shall file an application in the manner prescribed in Rule 1013, including the timely submission of an application fee pursuant to Schedule A to the FINRA By-Laws.
(2) An Applicant seeking approval of a change of ownership, control, or business operations shall file an application in the manner prescribed in Rule 1017,
This interpretive material concerns the types of business expansions that will not require a member to submit a Rule 1017 application to obtain FINRA's approval of the expansion. This safe harbor applies to: (1) firms that do not have a membership agreement, and (2) firms that have a membership agreement that does not contain a restriction on the factors listed below.
The safe harbor is not
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"
(a) Filing Requirement
Except as provided in Rule 1013(a)(2), all forms required to be filed by Article IV, Sections 1, 7, and 8, and Article V, Sections 2 and 3, of the FINRA By-Laws shall be filed through an electronic process or such other process FINRA may prescribe to the Central Registration Depository.
(b) Supervisory Requirements
(1) In order to comply with the supervisory procedures
As announced in a Technical Notice on April 1, 2019, there was an issue where firm data was being displayed under multiple names. This was occurring when there was a mid-reporting period name change. FINRA has updated the display requirements to reflect only the Name associated with the MPID at the start of the reporting period. All historical data has now been updated. In addition, there may
The following pages will be useful to registration managers and compliance managers at member firms.
Permitted Activities of Registered Representatives
Permitted Activities of Registered Principals
Effective Dates of Qualification Exams
Co-requisites for Qualification Exams
Registration Code Classifications
Terms and Acronyms
For more general information about FINRA's Qualification
At FINRA, our employees are our greatest asset and include many of the brightest and most talented individuals in the financial services industry. We strive to create a diverse and inclusive culture where the thoughts and ideas of all FINRA employees are valued, appreciated and respected.
Since fairness is at the very heart of what we do, diversity in our workforce must mirror the same
Established in 2009, the FINRA Diversity Leadership Council is tasked with developing and implementing a robust diversity and inclusion strategy at FINRA. It recommends steps and initiatives that foster an environment where all employees are valued, recognized for their contributions and given the opportunity to perform their best work and support FINRA's mission.
Specifically, the Council