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2501. Introduction

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Series 2000: Dealer Member Organization and Individual Approval Rules
    Rule

    1. Rule 2500 sets out requirements for a Dealer Member’s Directors and Executives including, its Chief Financial Officer, Chief Compliance Officer, and Ultimate Designated Person.

    2. Rule 2500 is divided into the following parts:

    1. Part A – Dealer Member Directors and Executives
      [sections 2502 through 2507]

    2. Part B – Approval of individuals
      [sections 2550 through 2555]

    Guidance/Notices
    History

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    Disciplinary History
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