Important Notice: Our web hosting provider recently started charging us for additional visits, which was unexpected. In response, we're seeking donations. Depending on the situation, we may explore different monetization options for our Community and Expert Contributors. It's crucial to provide more returns for their expertise and offer more Expert Validated Answers or AI Validated Answers. Learn more about our hosting issue here.

What criteria are required to qualify for exclusion from the definition of Reporting Member?

April 26, 2017criteria definition exclusion qualify

0

0 Posted

What criteria are required to qualify for exclusion from the definition of Reporting Member?

1 Answer

0

0 Posted

Members should refer to the OATS Report entitled OATS PHASE III Differences between Reporting Member Exclusion and Exemptive Relief from the OATS Reporting Requirements for detailed information regarding the exclusion provided for by FINRA Rule 7410(n).