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  • Form Mc400 - Securities And Exchange Commission - Sec

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MEMBERSHIP CONTINUANCE APPLICATION ("MC-400") Application must be made by the member to Nasdaq, 9600 Blackwell Road, Rockville, MD 20850, Atm: Membership Department, and be accompanied by.

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If you wish to hire or re-employ a registered representative who has been subject to Statutory Disqualification by FINRA, your organization must submit a Membership Continuance Application (MC-400) on the representative's behalf that FINRA must first review and approve before the representative can join the firm.

When the Permanent Disqualification Criteria are met, FINRA will permanently decline new applicants, and will permanently remove enrolled arbitrators from service. Misstatement/Omission. ... Disciplinary Actions. ... Fraud. ... Decisions, Awards, Involving Discrimination/Harassment. ... Director's Judgment.

See the list of individuals who have a FINRA bar in effect, which means FINRA has permanently prohibited them from association with any member in any capacity. Actions Resulting From FINRA Referrals. See a list of actions resulting from FINRA referrals to federal and state authorities.

FINRA Disqualification Criteria Felony convictions for 10 years following the conviction date. Certain misdemeanor convictions for 10 years from the conviction date. Temporary or permanent injunctions for unlawful securities or investment banking activities.

Statutory disqualification is a status that denotes that the individual may be subject to disqualification under Article III, Section 4 of the FINRA By-Laws and/or parallel provisions in the Securities Exchange Act of 1934.

Disqualification Defined The list of disqualifying events ing to Section 3(a)(39) of the Exchange Act are as follows: certain misdemeanor and all felony criminal convictions for a period of ten years from the date of conviction.

A person becomes subject to a statutory disqualification if the person: Is enjoined temporarily or permanently from violating the securities laws by a court of competent jurisdiction. Is barred or suspended from association with a broker-dealer by the SEC, the CFTC, an SRO or a foreign equivalent.

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© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232
Form Packages
Adoption
Bankruptcy
Contractors
Divorce
Home Sales
Employment
Identity Theft
Incorporation
Landlord Tenant
Living Trust
Name Change
Personal Planning
Small Business
Wills & Estates
Packages A-Z
Form Categories
Affidavits
Bankruptcy
Bill of Sale
Corporate - LLC
Divorce
Employment
Identity Theft
Internet Technology
Landlord Tenant
Living Wills
Name Change
Power of Attorney
Real Estate
Small Estates
Wills
All Forms
Forms A-Z
Form Library
Customer Service
Terms of Service
DMCA Policy
About Us
Blog
Affiliates
Contact Us
Privacy Notice
Delete My Account
Site Map
All Forms
Search all Forms
Industries
Forms in Spanish
Localized Forms
Legal Guides
Real Estate Handbook
All Guides
Prepared for You
Notarize
Incorporation services
Our Customers
For Consumers
For Small Business
For Attorneys
Our Sites
US Legal Forms
USLegal
FormsPass
pdfFiller
signNow
airSlate workflows
DocHub
Instapage
Social Media
Call us now toll free:
1-877-389-0141
As seen in:
  • USA Today logo picture
  • CBC News logo picture
  • LA Times logo picture
  • The Washington Post logo picture
  • AP logo picture
  • Forbes logo picture
© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232