FINRA Requirements. You represent that you are a member in good standing of FINRA, or a non-U.S. bank, broker, dealer, or institution not eligible for membership in FINRA or a Bank. If you are a member of FINRA, you will comply with all applicable rules of FINRA, including, without limitation: (a) the requirements of FINRA Rule 5130, and (b) the requirements of NASD Conduct Rule 2740 or any FINRA successor rule thereto, and you will
Appears in 4 contracts
Samples: Master Agreement (Nuveen Build America Bond Fund), Master Agreement (Western Asset High Yield Defined Opportunity Fund Inc.), Master Agreement (Nuveen Build America Bond Fund)
