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.
Amended by SR-FINRA-2009-009 eff. Aug. 17, 2009. Selected Notice: 09-33. |
- Regulatory Notice 17-13April 10, 2017
- Regulatory Notice 09-33June 15, 2009