Bylaws of Martinque Ventures Corporation Form
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People also ask
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What is Article III Section 4 of FINRA's by-laws incorporating Section 3 A )( 39 of the Securities Exchange Act of 1934?
Article III, Section 4 of the FINRA By-Laws states that a person is subject to a "disqualification" with respect to membership, or association with a member, if such person is subject to any "statutory disqualification" as such term is defined in Section 3(a)(39) of the Exchange Act.
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What is Article V Section 4 of finra's bylaws?
Under Article V, Section 4 of the FINRA By-Laws, FINRA retains jurisdiction over a registered person for purposes of filing a complaint (i.e., bringing a disciplinary action) for two years after the effective date of the person's termination from the firm.
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What is Section 3 of the finra bylaws?
Article III, Section 3 of FINRA's By-Laws provides that no member shall be continued in membership if it becomes subject to disqualification; and that no person shall be associated with a member, continue to be associated with a member, or transfer association to another member if such person is or becomes subject to ...
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What is Article 5 Section 2 C of the finra by-laws?
Article V, Section 2(c) of the NASD By-Laws requires every application for registration filed with NASD to be kept current at all times by supplementary amendments. Amendments to Forms U4 must be filed not later than 30 days after learning of facts or circumstances giving rise to a reporting obligation.
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What is the third element of FINRA rule 2111?
Rule 2111 is composed of three main obligations: reasonable-basis suitability, customer-specific suitability, and quantitative suitability.
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What is Section 3 A )( 39 statutory disqualification?
Under Exchange Act Section 3(a)(39), an encumbrance of a person, including a broker-dealer, who has engaged in certain types of misconduct, to SRO membership or participation or association with a broker-dealer.
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What is Section 3 A )( 4 of the Securities Exchange Act of 1934?
Section 3(a)(4)(B)(ii) of the Exchange Act permits a bank, under certain conditions, to effect securities transactions in a trustee or fiduciary capacity without being registered as a broker.
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