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Finra rules Form: What You Should Know

Chapter 1, Article IX, Section V, and Section VI(b), must be filed electronically (“electronically”), in accordance with the provisions  hereof. (1) Filing of Form U17 (e-Governmental Organization)  (f) Electronic Filing of Forms Required to be Filed by Article IV, Sections 1, 7, and 8, and Article V,  Chapter 1, Article IX, Section V, and Section VI(b) (1) Application To be eligible to receive electronic filing access, any person may  seek, in an authorized manner, to receive electronic filing access to any part of the information  required to be filed by Article IV, Section 1, 7, or 8, and Article V, Chapter 1,  Article IX, Section V, or Section VI(b) by completing, signing, and returning an appropriate Application  To Enfranchise Electronically, Form 21B, which must be returned to FINRA no more than 90 days prior to the  next filing date. (2) Electronic Filing Requirement for the Uniform Forms Unofficial Application —  FINRA Forms, including U1, must be electronic filed (and filed electronically) as follows; (a) Form U1 (e-Governmental Organization) must be electronically filed (and  filed electronically) no later than the date a Form U9 is filed. (b) The information that may be contained in the  e-Governmental Organization (EU) Form, including, but not limited to, the information that is required to  be included in Form U1 and Form U9, shall be filed, in accordance with Rule 1013(b). (c) [Added by FINRA Rule 1013-12(e)] (d) An EU, to the extent required, shall contain the information provided by  the Applicant in his signed EU as required by Rule 1014, but otherwise shall not contain information  that is mandatory for an EU filing, such as that  FURTHER INFORMATION ON ELECTRONIC Filing REQUIREMENTS CAN BE FOUND ATFINRA.ORG/PROGRAM/U18E FINRA.ORG/RULE-1013 FINRA.ORG/RULE-1014  FINRA.ORG/RULE-1015 FINRA.

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