{ "node": "us-cm-kg", "door": "https://mcp.us-cm-kg.ai", "market": "us", "jurisdiction_namespace": "us-eco-10060", "chapter": "us.chapter.v16", "source": "Book of Markets mirror (allooloocmkgapex/book), read at request time", "kind": "book-section", "family": "ECO", "version": "us.eco.v3", "supersedes": "us.eco.v2", "book_path": "us/sections/us.eco.v3.json", "book_sha256": "sha256:10892b5d6a5e1bbbcd5bdbb11fa2dd8e2ee3eda31fe1f3bffef9c9ce828c6b61", "section": { "section_id": "book:us:eco", "family": "ECO", "schema": "SM-ECO-10060 canonical text v1.0 (2026-10-30) · chapter schema v0.1 (unratified) · Appendix A", "schema_version": "0.1", "version": "us.eco.v3", "supersedes": "us.eco.v2", "market": "us", "node": "us-cm-kg", "produced_at": "2026-10-31T02:16:40Z", "observed": { "earliest_read": "2026-10-23", "latest_read": "2026-10-31T02:16:34Z" }, "fields": [ { "name": "jurisdiction_scope", "value": { "regime_boundary": "FINRA Rule 2111 (Suitability) does not apply to recommendations subject to SEA Rule 15l-1 (Regulation Best Interest); Reg BI applies only to recommendations to retail customers, and FINRA's suitability rule is still needed for entities and institutions and for natural persons who will not use recommendations primarily for personal, family, or household purposes" }, "read_at": "2026-10-31T02:14:33Z", "pages_checked": [ "https://www.finra.org/rules-guidance/notices/20-18", "https://www.finra.org/rules-guidance/key-topics/suitability", "https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111", "https://www.finra.org/rules-guidance/rulebooks/capital-acquisition-broker-rules/211", "https://www.finra.org/rules-guidance/key-topics/suitability/faq", "https://www.sec.gov/", "https://www.finra.org/rules-guidance/rulebooks/recently-approved-rule-changes-pending-determination-effective-date/2111", "https://mcp.getissuer.ai/mcp", "https://www.finra.org/rules-guidance/notices/12-25", "https://www.finra.org/rules-guidance/notices/12-55" ], "source_url": "https://www.finra.org/rules-guidance/notices/20-18", "source_date": "June 19, 2020", "period": "effective June 30, 2020" }, { "name": "competent_authorities", "value": "U.S. Securities and Exchange Commission (SEC) - homepage describes it as an agency that protects investors from misconduct and promotes fairness and efficiency in the securities markets", "read_at": "2026-10-23", "pages_checked": [ "https://www.sec.gov/" ], "source_url": "https://www.sec.gov/" }, { "name": "duty_map", "value": [ { "duty": "reasonable-basis suitability (FINRA Rule 2111)" } ], "read_at": "2026-10-30T21:17:22Z", "pages_checked": [ "https://mcp.getissuer.ai/mcp" ], "source_url": "https://mcp.getissuer.ai/mcp", "conflict": { "values": [ { "value": [ { "duty": "Regulation Best Interest (SEA Rule 15l-1)", "actor": "broker-dealers and associated persons", "activity": "recommendation to a retail customer of any securities transaction or investment strategy involving securities, including recommendations of types of accounts" }, { "duty": "FINRA Rule 2111 (Suitability)", "actor": "broker-dealer or associated person", "activity": "recommended transaction or investment strategy involving a security or securities, where not subject to Reg BI" }, { "duty": "CAB Rule 211 (Suitability)", "actor": "capital acquisition brokers", "activity": "conformed to the amendments to Rule 2111" }, { "duty": "FINRA Rule 2330 (Members' Responsibilities Regarding Deferred Variable Annuities)", "activity": "suitability or suitability-like component" }, { "duty": "FINRA Rule 2360 (Options)", "activity": "suitability or suitability-like component" } ], "source_url": "https://www.finra.org/rules-guidance/notices/20-18", "quote": "Reg BI establishes a “best interest” standard of conduct for broker-dealers and associated persons when they make a recommendation to a retail customer of any securities transaction or investment strategy involving securities", "source_date": "June 19, 2020" } ], "reason": "review PARTIAL: PARTIAL\n\nThe excerpt supports the claimed value for **Regulation Best Interest (Reg BI)** and its scope but only partially or indirectly addresses the other duties (FINRA Rules 2111, 211, 2330, and 23", "selection_rule": "none — unresolved (BOOK-02 records, does not resolve)" } }, { "name": "regulated_activities", "value": "not_found", "read_at": "2026-10-31T02:16:30Z", "pages_checked": [ "https://www.finra.org/rules-guidance/key-topics/suitability", "https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111", "https://www.finra.org/rules-guidance/rulebooks/capital-acquisition-broker-rules/211", "https://www.finra.org/rules-guidance/key-topics/suitability/faq", "https://www.sec.gov/", "https://www.finra.org/rules-guidance/rulebooks/recently-approved-rule-changes-pending-determination-effective-date/2111", "https://mcp.getissuer.ai/mcp", "https://www.finra.org/rules-guidance/notices/12-25", "https://www.finra.org/rules-guidance/notices/12-55", "https://www.finra.org/rules-guidance/notices/20-18" ] }, { "name": "participant_categories", "value": "not_found", "read_at": "2026-10-31T02:14:33Z", "pages_checked": [ "https://www.finra.org/rules-guidance/key-topics/suitability", "https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111", "https://www.finra.org/rules-guidance/rulebooks/capital-acquisition-broker-rules/211", "https://www.finra.org/rules-guidance/key-topics/suitability/faq", "https://www.sec.gov/", "https://www.finra.org/rules-guidance/rulebooks/recently-approved-rule-changes-pending-determination-effective-date/2111", "https://mcp.getissuer.ai/mcp", "https://www.finra.org/rules-guidance/notices/12-25", "https://www.finra.org/rules-guidance/notices/12-55", "https://www.finra.org/rules-guidance/notices/20-18" ], "conflict": { "values": [ { "value": [ { "category": "retail customer", "definition": "a natural person, or the legal representative of such natural person, who receives a recommendation of any securities transaction or investment strategy involving securities from a broker-dealer and uses the recommendation primarily for personal, family, or household purposes" }, { "category": "entities and institutions (e.g., pension funds)" }, { "category": "natural persons who will not use recommendations primarily for personal, family, or household purposes (e.g., small business owners and charitable trusts)" }, { "category": "institutional customers" }, { "category": "broker-dealers and associated persons" } ], "source_url": "https://www.finra.org/rules-guidance/notices/20-18", "quote": "Reg BI applies only to recommendations to “retail customers,” which Reg BI defines as a natural person, or the legal representative of such natural person, who receives a recommendation of any securities transaction or investment strategy involving securities from a broker-dealer", "source_date": "June 19, 2020" } ], "reason": "review PARTIAL: PARTIAL\n\nThe excerpt defines \"retail customers\" as described in the first claimed value but only indirectly or partially addresses the other categories (e.g., institutional customers, broker-dealers) ", "selection_rule": "none — unresolved (BOOK-02 records, does not resolve)" } }, { "name": "product_categories", "value": [ { "category": "Direct Participation Programs", "rule": "FINRA Rule 2310" }, { "category": "Variable Contracts of an Insurance Company", "rule": "FINRA Rule 2320" }, { "category": "Investment Company Securities", "rule": "FINRA Rule 2341" }, { "category": "Corporate Financing – Underwriting Terms and Arrangements", "rule": "FINRA Rule 5110" } ], "read_at": "2026-10-31T02:14:33Z", "pages_checked": [ "https://www.finra.org/rules-guidance/notices/20-18", "https://www.finra.org/rules-guidance/key-topics/suitability", "https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111", "https://www.finra.org/rules-guidance/rulebooks/capital-acquisition-broker-rules/211", "https://www.finra.org/rules-guidance/key-topics/suitability/faq", "https://www.sec.gov/", "https://www.finra.org/rules-guidance/rulebooks/recently-approved-rule-changes-pending-determination-effective-date/2111", "https://mcp.getissuer.ai/mcp", "https://www.finra.org/rules-guidance/notices/12-25", "https://www.finra.org/rules-guidance/notices/12-55" ], "source_url": "https://www.finra.org/rules-guidance/notices/20-18", "source_date": "June 19, 2020" }, { "name": "issuer_and_listing_scope", "value": "not_found", "read_at": "2026-10-31T02:16:30Z", "pages_checked": [ "https://www.finra.org/rules-guidance/key-topics/suitability", "https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111", "https://www.finra.org/rules-guidance/rulebooks/capital-acquisition-broker-rules/211", "https://www.finra.org/rules-guidance/key-topics/suitability/faq", "https://www.sec.gov/", "https://www.finra.org/rules-guidance/rulebooks/recently-approved-rule-changes-pending-determination-effective-date/2111", "https://mcp.getissuer.ai/mcp", "https://www.finra.org/rules-guidance/notices/12-25", "https://www.finra.org/rules-guidance/notices/12-55", "https://www.finra.org/rules-guidance/notices/20-18" ] }, { "name": "exchanges_and_venues", "value": [ { "name": "New York Stock Exchange (NYSE)", "listings_page": "https://www.nyse.com/listings_directory/stock" }, { "name": "Nasdaq Stock Market - Global Select Market (Q), Global Market (G), Capital Market (S)", "listings_page": "https://www.nasdaqtrader.com/Trader.aspx?id=symboldirdefs" } ], "read_at": "2026-10-23", "pages_checked": [ "https://www.nyse.com/listings_directory/stock", "https://www.nasdaqtrader.com/Trader.aspx?id=symboldirdefs" ], "source_url": "https://www.nyse.com/listings_directory/stock" }, { "name": "information_stores", "value": "EDGAR (SEC Electronic Data Gathering, Analysis and Retrieval) - SEC Search Filings / full text search", "read_at": "2026-10-23", "pages_checked": [ "https://www.sec.gov/edgar/search-and-access" ], "source_url": "https://www.sec.gov/edgar/search-and-access" }, { "name": "store_lookup", "value": "SEC Search Filings page: company search by name or ticker ('Starts with'/'Contains'), CIK Lookup at /search-filings/cik-lookup, Full Text Search at https://www.sec.gov/edgar/search/. No per-CIK URL pattern printed on the pages read", "read_at": "2026-10-23", "pages_checked": [ "https://www.sec.gov/search-filings" ], "source_url": "https://www.sec.gov/search-filings" }, { "name": "periodic_reporting", "value": [ { "report": "Form 10-K annual report", "deadline": "60 days after the end of the fiscal year for large accelerated filers; 75 days for accelerated filers; 90 days for all other registrants (General Instruction A(2))" }, { "report": "Form 10-Q quarterly report (first three fiscal quarters; none for Q4)", "deadline": "40 days after the end of the fiscal quarter for large accelerated filers and accelerated filers; 45 days for all other registrants (General Instruction A.1)" } ], "read_at": "2026-10-23", "pages_checked": [ "https://www.sec.gov/files/form10-k.pdf", "https://www.sec.gov/files/form10-q.pdf" ], "source_url": "https://www.sec.gov/files/form10-k.pdf" }, { "name": "ad_hoc_disclosure", "value": "Form 8-K: 'Unless otherwise specified, a report is to be filed or furnished within four business days after occurrence of the event.' Regulation FD disclosure via Item 7.01 (furnished) or Item 8.01 must follow the deadline in Rule 100(a) of Regulation FD; Item 1.05 (material cybersecurity incident) within four business days after the registrant determines it", "read_at": "2026-10-23", "pages_checked": [ "https://www.sec.gov/files/form8-k.pdf" ], "source_url": "https://www.sec.gov/files/form8-k.pdf" }, { "name": "filing_formats", "value": "Inline XBRL: cover page and financial statement information in Forms 10-Q and 10-K, cover page and certain revised financials in Form 8-K (domestic filers); cover page and financial statements in Forms 20-F and 40-F (foreign private issuers)", "read_at": "2026-10-23", "pages_checked": [ "https://www.sec.gov/structureddata/osd-inline-xbrl.html" ], "source_url": "https://www.sec.gov/structureddata/osd-inline-xbrl.html" }, { "name": "filing_languages", "value": "English: Regulation S-T Rule 306(a) - 'all electronic filings or submissions must be in the English language, except as otherwise provided by this rule' (as stated in SEC release 33-8099)", "read_at": "2026-10-23", "pages_checked": [ "https://www.sec.gov/rules-regulations/2002/05/mandated-edgar-filing-foreign-issuers" ], "source_url": "https://www.sec.gov/rules-regulations/2002/05/mandated-edgar-filing-foreign-issuers" }, { "name": "prospectus_regime", "value": "not_found", "read_at": "2026-10-31T02:16:31Z", "pages_checked": [ "https://www.sec.gov/edgar/search-and-access", "https://www.finra.org/rules-guidance/rulebooks/recently-approved-rule-changes-pending-determination-effective-date/2111", "https://www.finra.org/rules-guidance/rulebooks/capital-acquisition-broker-rules/211", "https://www.finra.org/rules-guidance/notices/20-18", "https://www.sec.gov/search-filings", "https://www.finra.org/rules-guidance/key-topics/suitability", "https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111", "https://www.sec.gov/files/form10-k.pdf", "https://www.sec.gov/files/form10-q.pdf", "https://www.sec.gov/files/form8-k.pdf" ] }, { "name": "product_disclosures", "value": "not_found", "read_at": "2026-10-31T02:16:31Z", "pages_checked": [ "https://www.sec.gov/edgar/search-and-access", "https://www.finra.org/rules-guidance/rulebooks/recently-approved-rule-changes-pending-determination-effective-date/2111", "https://www.finra.org/rules-guidance/rulebooks/capital-acquisition-broker-rules/211", "https://www.finra.org/rules-guidance/notices/20-18", "https://www.sec.gov/search-filings", "https://www.finra.org/rules-guidance/key-topics/suitability", "https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111", "https://www.sec.gov/files/form10-k.pdf", "https://www.sec.gov/files/form10-q.pdf", "https://www.sec.gov/files/form8-k.pdf" ] }, { "name": "takeover_regime", "value": "not_found", "read_at": "2026-10-31T02:16:31Z", "pages_checked": [ "https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111", "https://www.finra.org/rules-guidance/rulebooks/capital-acquisition-broker-rules/211", "https://www.finra.org/rules-guidance/key-topics/suitability/faq", "https://www.finra.org/rules-guidance/rulebooks/recently-approved-rule-changes-pending-determination-effective-date/2111", "https://www.finra.org/rules-guidance/key-topics/suitability", "https://www.finra.org/rules-guidance/notices/11-02", "https://www.nyse.com/markets/hours-calendars", "https://www.nyse.com/trade-halt-current", "https://www.nasdaqtrader.com/Trader.aspx?id=TradeHalts" ] }, { "name": "ownership_reporting", "value": "not_found", "read_at": "2026-10-31T02:16:31Z", "pages_checked": [ "https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111", "https://www.finra.org/rules-guidance/rulebooks/capital-acquisition-broker-rules/211", "https://www.finra.org/rules-guidance/key-topics/suitability/faq", "https://www.finra.org/rules-guidance/rulebooks/recently-approved-rule-changes-pending-determination-effective-date/2111", "https://www.finra.org/rules-guidance/key-topics/suitability", "https://www.finra.org/rules-guidance/notices/11-02", "https://www.nyse.com/markets/hours-calendars", "https://www.nyse.com/trade-halt-current", "https://www.nasdaqtrader.com/Trader.aspx?id=TradeHalts" ] }, { "name": "short_selling", "value": "not_found", "read_at": "2026-10-31T02:16:31Z", "pages_checked": [ "https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111", "https://www.finra.org/rules-guidance/rulebooks/capital-acquisition-broker-rules/211", "https://www.finra.org/rules-guidance/key-topics/suitability/faq", "https://www.finra.org/rules-guidance/rulebooks/recently-approved-rule-changes-pending-determination-effective-date/2111", "https://www.finra.org/rules-guidance/key-topics/suitability", "https://www.finra.org/rules-guidance/notices/11-02", "https://www.nyse.com/markets/hours-calendars", "https://www.nyse.com/trade-halt-current", "https://www.nasdaqtrader.com/Trader.aspx?id=TradeHalts" ] }, { "name": "market_abuse", "value": "not_found", "read_at": "2026-10-31T02:16:31Z", "pages_checked": [ "https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111", "https://www.finra.org/rules-guidance/rulebooks/capital-acquisition-broker-rules/211", "https://www.finra.org/rules-guidance/key-topics/suitability/faq", "https://www.finra.org/rules-guidance/rulebooks/recently-approved-rule-changes-pending-determination-effective-date/2111", "https://www.finra.org/rules-guidance/key-topics/suitability", "https://www.finra.org/rules-guidance/notices/11-02", "https://www.nyse.com/markets/hours-calendars", "https://www.nyse.com/trade-halt-current", "https://www.nasdaqtrader.com/Trader.aspx?id=TradeHalts" ] }, { "name": "trading_controls", "value": "not_found", "read_at": "2026-10-31T02:15:22Z", "pages_checked": [ "https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111", "https://www.finra.org/rules-guidance/rulebooks/capital-acquisition-broker-rules/211", "https://www.finra.org/rules-guidance/key-topics/suitability/faq", "https://www.finra.org/rules-guidance/rulebooks/recently-approved-rule-changes-pending-determination-effective-date/2111", "https://www.finra.org/rules-guidance/key-topics/suitability", "https://www.finra.org/rules-guidance/notices/11-02", "https://www.nyse.com/markets/hours-calendars", "https://www.nyse.com/trade-halt-current", "https://www.nasdaqtrader.com/Trader.aspx?id=TradeHalts" ], "conflict": { "values": [ { "value": [ { "control": "Trading Pause", "description": "the Pause Threshold Price field will contain the reference threshold price that deviates 10% from a print on the Consolidated Tape that is last sale eligible as compared to every print in that security on a rolling five-minute basis", "source": "Nasdaq Trader Current Trading Halts" } ], "source_url": "https://www.nasdaqtrader.com/Trader.aspx?id=TradeHalts", "quote": "If a security is subject to a Trading Pause, the Pause Threshold Price field will contain the reference threshold price that deviates 10% from a print on the Consolidated Tape that is last sale eligible as compared to every print in that security on a rolling five-minute basis.", "source_date": null } ], "reason": "review UNSUPPORTED: SUPPORTED, The page excerpt directly matches the claimed description of the \"Pause Threshold Price\" field and its 10% deviation rule on a rolling five-minute basis.", "selection_rule": "none — unresolved (BOOK-02 records, does not resolve)" } }, { "name": "market_calendar", "value": "NYSE market holidays 2026-2028 and early closes (1:00 p.m. ET), e.g. Friday Nov 27 2026 and Thursday Dec 24 2026", "read_at": "2026-10-23", "pages_checked": [ "https://www.nyse.com/markets/hours-calendars" ], "source_url": "https://www.nyse.com/markets/hours-calendars" }, { "name": "halts_sources", "value": "NYSE current and historical trading halts (CSV download, email alerts; ET); Nasdaq Trader current trading halts", "read_at": "2026-10-23", "pages_checked": [ "https://www.nyse.com/trade-halt-current", "https://www.nasdaqtrader.com/Trader.aspx?id=TradeHalts" ], "source_url": "https://www.nyse.com/trade-halt-current" }, { "name": "identifiers", "value": "not_found", "read_at": "2026-10-31T02:16:32Z", "pages_checked": [ "https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111", "https://www.finra.org/rules-guidance/rulebooks/capital-acquisition-broker-rules/211", "https://www.finra.org/rules-guidance/key-topics/suitability/faq", "https://www.finra.org/rules-guidance/rulebooks/recently-approved-rule-changes-pending-determination-effective-date/2111", "https://www.finra.org/rules-guidance/key-topics/suitability", "https://www.finra.org/rules-guidance/notices/11-02", "https://www.nyse.com/markets/hours-calendars", "https://www.nyse.com/trade-halt-current", "https://www.nasdaqtrader.com/Trader.aspx?id=TradeHalts" ] }, { "name": "isin_prefix", "value": "US - CUSIP Global Services (CGS) states it is 'responsible for the assignment of ISINs in the U.S. and in other areas where designated or appointed'", "read_at": "2026-10-23", "pages_checked": [ "https://www.cusip.com/identifiers.html" ], "source_url": "https://www.cusip.com/identifiers.html" }, { "name": "lei_requirements", "value": "LEI = 20-character ISO 17442 code, issued by GLEIF-accredited LEI Issuers (Local Operating Units), searchable in the Global LEI Index via LEI Search. No US-specific LEI issuer or issuer-obligation statement read on an official page", "read_at": "2026-10-23", "pages_checked": [ "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei" ], "source_url": "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei" }, { "name": "settlement", "value": "not_found", "read_at": "2026-10-31T02:16:33Z", "pages_checked": [ "https://www.cusip.com/identifiers.html", "https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111", "https://www.finra.org/rules-guidance/key-topics/suitability", "https://www.finra.org/rules-guidance/key-topics/suitability/faq", "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei", "https://www.gleif.org/en/lei-data/lei-search/about-lei-search", "https://www.gleif.org/en/lei-data/lei-search/about-lei-search/how-to-use-lei-search", "https://sec.gov/files/rules/final/2026/33-11420.pdf", "https://www.finra.org/rules-guidance/rulebooks/capital-acquisition-broker-rules/211", "https://www.finra.org/rules-guidance/rulebooks/recently-approved-rule-changes-pending-determination-effective-date/2111" ] }, { "name": "clearing_and_custody", "value": "not_found", "read_at": "2026-10-31T02:16:33Z", "pages_checked": [ "https://www.cusip.com/identifiers.html", "https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111", "https://www.finra.org/rules-guidance/key-topics/suitability", "https://www.finra.org/rules-guidance/key-topics/suitability/faq", "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei", "https://www.gleif.org/en/lei-data/lei-search/about-lei-search", "https://www.gleif.org/en/lei-data/lei-search/about-lei-search/how-to-use-lei-search", "https://sec.gov/files/rules/final/2026/33-11420.pdf", "https://www.finra.org/rules-guidance/rulebooks/capital-acquisition-broker-rules/211", "https://www.finra.org/rules-guidance/rulebooks/recently-approved-rule-changes-pending-determination-effective-date/2111" ] }, { "name": "corporate_actions", "value": "not_found", "read_at": "2026-10-31T02:16:33Z", "pages_checked": [ "https://www.cusip.com/identifiers.html", "https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111", "https://www.finra.org/rules-guidance/key-topics/suitability", "https://www.finra.org/rules-guidance/key-topics/suitability/faq", "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei", "https://www.gleif.org/en/lei-data/lei-search/about-lei-search", "https://www.gleif.org/en/lei-data/lei-search/about-lei-search/how-to-use-lei-search", "https://sec.gov/files/rules/final/2026/33-11420.pdf", "https://www.finra.org/rules-guidance/rulebooks/capital-acquisition-broker-rules/211", "https://www.finra.org/rules-guidance/rulebooks/recently-approved-rule-changes-pending-determination-effective-date/2111" ] }, { "name": 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"https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei", "https://www.gleif.org/en/lei-data/lei-search/about-lei-search", "https://www.gleif.org/en/lei-data/lei-search/about-lei-search/how-to-use-lei-search", "https://sec.gov/files/rules/final/2026/33-11420.pdf", "https://www.finra.org/rules-guidance/rulebooks/capital-acquisition-broker-rules/211", "https://www.finra.org/rules-guidance/rulebooks/recently-approved-rule-changes-pending-determination-effective-date/2111" ] }, { "name": "tax_at_source", "value": "not_found", "read_at": "2026-10-31T02:16:33Z", "pages_checked": [ "https://www.cusip.com/identifiers.html", "https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111", "https://www.finra.org/rules-guidance/key-topics/suitability", "https://www.finra.org/rules-guidance/key-topics/suitability/faq", "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei", "https://www.gleif.org/en/lei-data/lei-search/about-lei-search", "https://www.gleif.org/en/lei-data/lei-search/about-lei-search/how-to-use-lei-search", "https://sec.gov/files/rules/final/2026/33-11420.pdf", "https://www.finra.org/rules-guidance/rulebooks/capital-acquisition-broker-rules/211", "https://www.finra.org/rules-guidance/rulebooks/recently-approved-rule-changes-pending-determination-effective-date/2111" ] }, { "name": "fees_and_levies", "value": [ { "name": "Section 31 transaction fee rate (Sections 31(b) and (c) of the Exchange Act)", "rate": "$20.60 per $1,000,000", "effective": "April 4, 2026" } ], "read_at": "2026-10-31T02:16:06Z", "pages_checked": [ "https://www.sec.gov/files/rules/other/2026/34-104909.pdf", "https://www.sec.gov/answers/sec31.htm", "https://www.sec.gov/rules-regulations/fee-rate-advisories/section-31-transaction-fees-basic-information-firms", "http://www.sec.gov/files/rules/sro/nyse/2026/34-105905-ex5.pdf", "https://www.finra.org/rules-guidance/key-topics/suitability", 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"https://www.sec.gov/rules-regulations/fee-rate-advisories/section-31-transaction-fees-basic-information-firms", "http://www.sec.gov/files/rules/sro/nyse/2026/34-105905-ex5.pdf", "https://www.sec.gov/files/rules/other/2026/34-104909.pdf", "https://www.finra.org/rules-guidance/key-topics/suitability", "https://www.finra.org/rules-guidance/key-topics/suitability/faq", "https://www.finra.org/rules-guidance/rulebooks/recently-approved-rule-changes-pending-determination-effective-date/2111", "https://www.finra.org/rules-guidance/rulebooks/finra-rules/4511", "https://www.sec.gov/files/rules/final/2022/34-96034.pdf" ], "source_url": "https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111", "source_date": "June 30, 2020" }, { "name": "recordkeeping", "value": [ { "rule": "FINRA Rule 4511(b)", "requirement": "Members shall preserve for a period of at least six years those FINRA books and records for which there is no specified period under the FINRA rules or applicable Exchange Act 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"2026-10-31T02:16:34Z", "pages_checked": [ "https://www.sec.gov/answers/sec31.htm", "https://www.sec.gov/rules-regulations/fee-rate-advisories/section-31-transaction-fees-basic-information-firms", "http://www.sec.gov/files/rules/sro/nyse/2026/34-105905-ex5.pdf", "https://www.sec.gov/files/rules/other/2026/34-104909.pdf", "https://www.finra.org/rules-guidance/key-topics/suitability", "https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111", "https://www.finra.org/rules-guidance/key-topics/suitability/faq", "https://www.finra.org/rules-guidance/rulebooks/recently-approved-rule-changes-pending-determination-effective-date/2111", "https://www.finra.org/rules-guidance/rulebooks/finra-rules/4511", "https://www.sec.gov/files/rules/final/2022/34-96034.pdf" ] }, { "name": "effective_changes", "value": [ { "change": "Fiscal year 2026 annual adjustment to Section 31 fee rates (Sections 31(b) and (c))", "status": "enacted", "effective": "April 4, 2026" } ], "read_at": "2026-10-31T02:16:06Z", "pages_checked": [ "https://www.sec.gov/files/rules/other/2026/34-104909.pdf", "https://www.sec.gov/answers/sec31.htm", "https://www.sec.gov/rules-regulations/fee-rate-advisories/section-31-transaction-fees-basic-information-firms", "http://www.sec.gov/files/rules/sro/nyse/2026/34-105905-ex5.pdf", "https://www.finra.org/rules-guidance/key-topics/suitability", "https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111", "https://www.finra.org/rules-guidance/key-topics/suitability/faq", "https://www.finra.org/rules-guidance/rulebooks/recently-approved-rule-changes-pending-determination-effective-date/2111", "https://www.finra.org/rules-guidance/rulebooks/finra-rules/4511", "https://www.sec.gov/files/rules/final/2022/34-96034.pdf" ], "source_url": "https://www.sec.gov/files/rules/other/2026/34-104909.pdf", "source_date": "February 27, 2026", "period": "fiscal year 2026" }, { "name": "additional_duty_fields", "value": "not_found", "read_at": "2026-10-31T02:16:34Z", "pages_checked": [ "https://www.sec.gov/answers/sec31.htm", "https://www.sec.gov/rules-regulations/fee-rate-advisories/section-31-transaction-fees-basic-information-firms", "http://www.sec.gov/files/rules/sro/nyse/2026/34-105905-ex5.pdf", "https://www.sec.gov/files/rules/other/2026/34-104909.pdf", "https://www.finra.org/rules-guidance/key-topics/suitability", "https://www.finra.org/rules-guidance/rulebooks/finra-rules/2111", "https://www.finra.org/rules-guidance/key-topics/suitability/faq", "https://www.finra.org/rules-guidance/rulebooks/recently-approved-rule-changes-pending-determination-effective-date/2111", "https://www.finra.org/rules-guidance/rulebooks/finra-rules/4511", "https://www.sec.gov/files/rules/final/2022/34-96034.pdf" ] } ], "seed": { "note": "seed v1 (BOOK-01): the twelve node-page fields and the apex duty line carried in as values with their source URLs and read dates — evidence kept, shape reset; every other field not_found with pages_checked 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"https://www.nyse.com/markets/hours-calendars", "https://www.nasdaqtrader.com/Trader.aspx?id=TradeHalts", "https://www.nyse.com/listings_directory/stock", "https://www.nasdaq.com/market-activity/stocks/screener (timeout)", "https://www.cusip.com/identifiers.html", "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei", "https://www.sec.gov/search-filings", "https://www.nasdaq.com/solutions/nasdaq-listing-center (timeout)", "https://www.sec.gov/rules-regulations/staff-guidance/division-corporation-finance-guidance/non-english-language-documents (404)", "https://www.sec.gov/rules-regulations/2002/05/mandated-edgar-filing-foreign-issuers", "https://www.nasdaqtrader.com/Trader.aspx?id=symboldirdefs", "https://listingcenter.nasdaq.com/rulebook/nasdaq/rules/Nasdaq%205300%20Series (403)" ], "notes": "Deadlines read on the form instruction PDFs (OMB expiry 2029 for 10-K); a 2026 SEC proposal to change deadlines was mentioned in search only and not read on an official page. Nasdaq listing center pages were not fetchable; Nasdaq tiers sourced from Nasdaq Trader symbol directory definitions. Growth-market note: Nasdaq Capital Market is the small-cap tier." }, "duty_line": { "source": "https://mcp.getissuer.ai/mcp", "list_nodes_read_at": "2026-10-30T21:17:22Z" }, "source_notes": { "regulator": { "url": "https://www.sec.gov/", "source": "https://www.sec.gov/", "state": "sourced" }, "exchanges": { "source": "https://www.nyse.com/listings_directory/stock ; https://www.nasdaqtrader.com/Trader.aspx?id=symboldirdefs", "state": "sourced" }, "regulated_information_store": { "url": "https://www.sec.gov/search-filings", "source": "https://www.sec.gov/edgar/search-and-access", "state": "sourced" }, "periodic_disclosure": { "source": "https://www.sec.gov/files/form10-k.pdf ; https://www.sec.gov/files/form10-q.pdf", "state": "sourced" }, "ad_hoc_regime": { "source": "https://www.sec.gov/files/form8-k.pdf", "state": "sourced" }, "filing_format": { "source": "https://www.sec.gov/structureddata/osd-inline-xbrl.html", "state": "sourced" }, "isin_prefix": { "source": "https://www.cusip.com/identifiers.html", "state": "sourced" }, "lei": { "url": "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei", "source": "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei", "state": "sourced" }, "market_calendar": { "url": "https://www.nyse.com/markets/hours-calendars", "source": "https://www.nyse.com/markets/hours-calendars", "state": "sourced" }, "filing_languages": { "source": "https://www.sec.gov/rules-regulations/2002/05/mandated-edgar-filing-foreign-issuers", "state": "sourced" }, "trading_halts_page": { "url": "https://www.nyse.com/trade-halt-current", "source": "https://www.nyse.com/trade-halt-current ; https://www.nasdaqtrader.com/Trader.aspx?id=TradeHalts", "state": "sourced" }, "store_lookup_url": { "url": "https://www.sec.gov/search-filings", "source": "https://www.sec.gov/search-filings", "state": "sourced" } }, "revision": "evidence (2026-10-30): every key the node record carried beside each value, and the record-level pages_checked and notes, kept so the page generator rebuilds the record from the Book byte for byte; values unchanged" }, "source_hashes": { "https://www.cusip.com/identifiers.html": { "hash": "sha256:879bf2345cf7315d659d1b7f3acdda29ad960172b2326f55101835fabcede5d9", "status": 200, "read_at": "2026-10-30T21:17:42Z" }, "https://www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei": { "hash": "sha256:351aa08f12cada2927b78e934a8d7c7923d06804ffe272a03d3f143dfa8ab3f2", "status": 200, "read_at": "2026-10-30T21:17:47Z" }, "https://www.nasdaqtrader.com/Trader.aspx?id=TradeHalts": { "hash": "sha256:9424bf3b45dfe88f606d0277514e9291cec28cc57088aee75bd051b61fb6e7b5", "status": 200, "read_at": "2026-10-30T21:17:53Z" }, "https://www.nasdaqtrader.com/Trader.aspx?id=symboldirdefs": { "hash": "sha256:fab81c836f8a019d9633d0d5699742672d78106610b488f424eff148bc153dbd", "status": 200, "read_at": "2026-10-30T21:17:53Z" }, "https://www.nyse.com/listings_directory/stock": { "hash": "sha256:2382e4d69ae0e52b0547611c98535433109d18aea5480d711f83fda2a833cc6b", "status": 200, "read_at": "2026-10-30T21:17:54Z" }, "https://www.nyse.com/markets/hours-calendars": { "hash": "sha256:e41688cfea34ee14d8639894a1e44e6beec4442d722e6001932b5161c42bd11b", "status": 200, "read_at": "2026-10-30T21:17:54Z" }, "https://www.nyse.com/trade-halt-current": { "hash": "sha256:5bec35b74a501e8fd15898197c3f6553858854c9fb89d6209ec10c59a0cfede9", "status": 200, "read_at": "2026-10-30T21:17:54Z" }, "https://www.sec.gov/": { "hash": "sha256:9b12628fd8732246ebbe3fdc6f5b83d83b5a08c97716761702caa6234ab74252", "status": 200, "read_at": "2026-10-30T21:17:57Z" }, "https://www.sec.gov/edgar/search-and-access": { "hash": "sha256:9d67a1219512c171ef9573c47c7f7aaa14ae0d0d2fd57ed404a8b642c9f3a973", "status": 200, "read_at": "2026-10-30T21:17:58Z" }, "https://www.sec.gov/files/form10-k.pdf": { "hash": 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