Series 2000: Dealer Member Organization and Individual Approval Rules

Filter 2000 series by title:

2100: OWNERSHIP OF A DEALER MEMBER’S SECURITIES
2200: DEALER MEMBER ORGANIZATION

PART A – DEALER MEMBER STRUCTURE

PART A.1 - BUSINESS LOCATIONS

PART A.2 - HOLDING COMPANIES, RELATED COMPANIES AND ORDER EXECUTION ONLY SERVICE PROVIDERS

PART A.3 - NON-SECURITIES BUSINESS AND SHARED PREMISES

2300: PRINCIPAL AND AGENT RELATIONSHIPS
2400: ACCEPTABLE BACK OFFICE ARRANGEMENTS

PART C - PERMITTED ARRANGEMENTS THAT ARE NOT CONSIDERED TO BE INTRODUCING BROKER/CARRYING BROKER ARRANGEMENTS

PART D - PROHIBITED BACK OFFICE SHARING ARRANGEMENTS

2500: DEALER MEMBER DIRECTORS AND EXECUTIVES, AND APPROVAL OF INDIVIDUALS
2600: PROFICIENCY REQUIREMENTS AND EXEMPTIONS FROM PROFICIENCIES
2700: CONTINUING EDUCATION REQUIREMENTS FOR APPROVED PERSONS

PART A - THE CONTINUING EDUCATION PROGRAM AND CONTINUING EDUCATION REQUIREMENTS

PART D - CHANGES DURING A CONTINUING EDUCATION PROGRAM CYCLE

PART E – DISCRETIONARY RELIEF

PART F - PENALTIES FOR NOT COMPLETING CONTINUING EDUCATION REQUIREMENTS

2800: THE NATIONAL REGISTRATION DATABASE