crd-rules
TRANSCRIPT
7/31/2019 CRD-Rules
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^@DA
JOX^OXGTM
XMZO]XJM
DKYKZKOL
X}cm Hooe
7/31/2019 CRD-Rules
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Amzzg`m ixoa BMGD JXD
Jox~oxgtm Xmzo}xjm Dkykzkol gt KLAGLTMJ mlz}xmz jox~oxgtm joaa}lkjgtkolz#h}kcdz }~ h}zklmzz lmtpoxez gld jox~oxgtm xmcgtkolz kl oxdmx to dmckymx hmzt
~xo~ozgcz oi tbm kld}ztx{ to tbm zt}dmltz,
Kt gkaz kl zbg~kl` ~xoimzzkolgc gttkxm oi zt}dmltz h{ ~xoykdkl` txgklkl`# gxxgl`kl`
jox~oxgtm kltmxigjmz# ~xoykdkl` zjo~m iox jox~oxgtm gld gc}alk kltmxgjtkolz#
o~mlkl` o~~oxt}lktkmz iox kld}ztxkgc txgklkl` gld kltmxlzbk~ gld iklgcc{# hxkl`kl`
foh o~mlkl`z to tbm jga~}z,
Tbm oiikjm kz bmcd h{ Tbm Bmgd# JXD pktb tbm Gzzkztglt Aglg`mxz gzzkztkl` bka
kl `xgd}gtkl` xo}ld!tbm!{mgx gjtkyktkmz klto z}jjmzz, Kt kz olm oi tbm aozt
~xkykcm`md dm~gxtamltz }ldmx tbm ~gtxolg`m oi TBM MRMJ]TKYM DKXMJTOX, Kt
ztg{z kl z{lj pktb tbm dm~gxtamltgc Dmgl oi hotb Aglg`mamlt gld KT to dkzj}zz
cgtmzt dmymco~amltz oi tbm mjoloa{ gld ka~xoykzm tbma klto jo}xzm/zmxykjm
dmckymx{, Tbm dm~gxtamlt emm~z xm`}cgx txgje oi zt}dmlt‛z ~mxioxagljmz# tgemz
jgxm oi tbmkx lmmdz gld mr~coxmz gxmg oi dmymco~amlt tbxo}`b gcc joljmxlmd^xo`xga Jooxdklgtoxz,
Tbm dm~gxtamlt kz joltgjtghcm gt / ox
gt gl{ tkam hmtpmml ;,>> G,A, to =,>> ^,A,# Aoldg{ to
Zgt}xdg{,
JXD kz gkamd to agkltgkl ztxol`mx holdz pktb gcc tbm gzzojkgtmz oi jox~oxgtm#
joccmg`}mz# zt}dmltz oi KLAGLTMJ gld ~xmztk`ko}z gc}alk oi tbm joccm`m5 {mt# kt
mlioxjmz dkzjk~cklm gld ghkdmz h{ tbm ~xoimzzkolgc ~xotojoc oi tbm h}zklmzz
poxcd, Tbm dm~gxtamlt cooez ioxpgxd to ikld tbm zkakcgx jodmz oi jold}jt hmkl`
gdo~tmd h{ tbm imccop zt}dmltz, Tbm X]CMHOOE kz ~}hckzbmd to `}kdm zt}dmltz
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kl agkltgklkl` mymx{ ztgldgxd oi kltm`xkt{ gld ~mximjtkol iox tbm mltkxm tpo {mgxz
kl KLAGLTMJ,
Tbm Bmgd#
Jox~oxgtm Xmzo}xjm Dkykzkol#
KLAGLTMJ
X}cmz gld Xm`}cgtkolz
@mlmxgc jodmz oi jold}jt6
7, Gcc zt}dmltz gxm dkxmjtmd to hm kl i}cc joccm`m }lkioxa gt tbm tkam oi gl{
~xo`xga/zjbmd}ckl` kltkagtmd h{ JXD pktb ~xo~mx `xooakl` "bgkxj}t#
jcmgl!zbgymd/txkaamd hmgxdz gld ao}ztgjbm# tkm# KD jgxd# ~ockzbmd ioxagc
zbomz+ gz gczo lotkikmd ixoa tbm oiikjm oi Tbm Mrmj}tkym Dkxmjtox gz tbm
`mlmxgc x}cm oi tbm jga~}z, Gl{ lol!gdbmxmljm to tbkz x}cm pkcc gttxgjt
zmymxm ~mlgct{ kljc}dkl` kaamdkgtm mr~}czkol oi tbm zt}dmlt ixoa gl{
ol`okl` gjtkykt{# myml to tbm mrtxmam oi dmhgxxkl` tbm zt}dmlt ixoa
~cgjmamlt gjtkyktkmz,
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8, Tbm LOTKJM HOGXD oi JXD kz ~}t }~ kl tbm gccm{ ioccopkl` tbm xmjm~tkol,
Tbm zt}dmltz gxm dkxmjtmd to emm~ txgje oi mymx{ }~dgtmz/lotkjmz/jkxj}cgxz
hmkl` ~}t }~ gt tbm lotkjm hogxd, Tbm{ jgl gczo joltgjt tbm
}ldmxzk`lmd/joltgjtz amltkolmd ghoym to jcgxki{ gl{ do}htz pktbkl tbm
`kyml tkam,
:, Ki zt}dmltz pglt to ammt gl{ oiikjkgc oi tbm dm~gxtamlt# tbm{ gxm gdykzmd
to joam olc{ gitmx :,:> ^,A, gld pktbkl =,>> ^,A, Tbm Bmgd# JXD pkcc#
bopmymx# emm~ kt to bkz dkzjxmtkol pbml to ammt zt}dmltz gz ~mx bkz
gygkcghkckt{,
4, Zt}dmltz gxm dkxmjtmd to tgem lotm oi tbm tkam ~mxkod tbm{ pkcc xmagkl
gttgjbmd to tbm dm~gxtamlt gz zt}dmltz "`xgd}gcc{ gz Gc}alk oi tbm
joccm`m+, Ixoa tbm ikxzt dg{ tkcc tbm mld oi tbm 9 tb Txkamztmx # zt}dmltz
zbo}cd hm xm`}cgxc{ joltgjtghcm ixoa ;,>> G,A, to ;,>> ^,A, gld zbo}cd
jbmje tbmkx magkcz mymx{ dg{, Gl{ joaa}lkjgtkol `g~ io}ld ol ~gxt oi tbm
zt}dmlt po}cd lot hm mltmxtgklmd kl gl{ jgzm gld jgl gttxgjt ~mlgct{,
^cmgzm akld to xmgd JOLTGJTGHKCKT[ JCG]ZM iox tbkz ~}x~ozm,
=, Zt}dmltz zbo}cd gczo jbmje JAZ ~oxtgc xm`}cgxc{ to ztg{ }~dgtmd gho}t
gl{ dmjkzkolz/dmymco~amltz,
9, JXD x}lz pktb g ~xotojoc tbgt d}xkl` gl{ gjtkykt{ gxxgl`md iox tbm
zt}dmltz# tbm pbocm hgtjb bgym to hm ~xmzmlt :> akl}tmz hmioxm tbm
gjtkykt{ ztgxtz gld po}cd bgym to hm ml`g`md tkcc tbm mld oi kt, KL JGZM OIGL[ OTBMX ML@G@MAMLT XMCGTKL@ TO JCGZZ/GZZK@LAMLT H[
GL[ OTBMX G]TBOXKT[# TBM[ ZBO]CD JOCCMJT LOL
^GXTKJK^GTKOL DMJCGXGTKOL IOXA IXOA JXD GLD @MT KT D]C[
ZK@LMD H[ TBM JOLJMXLMD G]TBOXKT[/IGJ]CT[ ZTGTKL@
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XMGZOLZ OI GHZMLJM, JXD kz ma~opmxmd to tgem gl{ gjtkol g`gklzt
dmig}ctmxz oi gl{ gjtkykt{ gxxgl`md h{ kt,
JOLTGJTGHKCKT[6
7, Gitmx dmckymx{ oi cg~to~z ixoa KJJ "Kltm`xgtmd Joa~}tmx Jmltmx+# zt}dmltz
zbo}cd ~cgjm g pxkttml xmw}mzt pktb tbm Gdaklkztxgtox# KJJ to `mt bkz
mrjc}zkym magkc kd xm`kztmxmd to agkcNklagltmj,md}, Iox tbkz ~}x~ozm#
zt}dmltz gxm gdykzmd to ~xoykdm gctmxlgtm magkc kdz zo tbgt tbm lmpc{xm`kztmxmd magkc kd pktb tbm ~gzzpoxd jgl hm zmlt to bka mcmjtxolkjgcc{,
8, JXD zbo}cd hm kltkagtmd gho}t tbkz agkc!kd tbxo}`b tbm mrjmc txgjemx
hmkl` d}c{ ikccmd }~ h{ tbm zt}dmltz pktbkl tpo aoltbz oi foklkl` tbm
jo}xzm, ^cmgzm jbmje Ikxzt Kltmxgjtkol pktb JXD iox dmtgkcz ol mrjmc
txgjemx,
:, Kl tbm zgam mrjmc txgjemx# zt}dmltz bgym to ~xoykdm tbmkx aohkcm l}ahmxz,
Kl jgzm oi }x`mlt klioxagtkol# tbm{ pkcc hm joltgjtmd ol tbm aohkcm
l}ahmxz z~mjkikmd kl tbm txgjemx, ^BOLMZ ZPKTJBMD OII# ^BOLM H]Z[
pkcc hm d}c{ xmjoxdmd gz lot!joltgjtghcm "LJ+ gld g joa~cgklt xm~oxt
po}cd hm zmlt to tbm zmlkox aglg`mamlt pktb g jj agkc to Tbm Dmgl gld
^xo`xga Jooxdklgtox gitmx dmhgxxkl` tbm zt}dmlt ixoa ~cgjmamlt
gjtkyktkmz,
4, Ki tbm zt}dmlt kz o}t ztgtkolmd ol ygjgtkol# txgklkl`# Z}aamx Kltmxlzbk~#
tbm{ zbo}cd pxktm gl g~~ckjgtkol to tbm JXD gjelopcmd`kl` tbmkx joltgjt
dmtgkcz kl tbm ~cgjmz pbmxm tbm{ gxm dm~}tmd, Tbkz zbo}cd hm dolm pktbkl
tbxmm dg{z oi cmgykl` tbm jga~}z "hotb iox boztmccmxz gld dg{!zjbocgxz+,
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JXD emm~z txgjekl` zt}dmltz dm~}tmd o}tzkdm Dmcbk/LJX gld tgemz ztxkjtmx
gjtkolz ki io}ld lot ~mxioxakl` gz ~mx tbm mr~mjtgtkolz,
=, Ki zt}dmltz gxm io}ld LOT JOLTGJTGHCM iox gl{ foh oiimxz# ZK^kltmxykmpz# lo zmjold jbgljm pkcc hm `xgltmd, Kl z}jb jgzmz# tbm zt}dmlt
pkcc xmagkl IXMMVMD tkcc tbm zoolmx oi gl{ olm oi mktbmx }likccmd
ygjgljkmz ox mld oi ~cgjmamlt zmzzkol,
9, D}xkl` ZK^# gl{ LJ zt}dmlt jo}cd hm xmz~olzkhcm iox jgljmccgtkol oi tbm
mltkxm ~xofmjt kxxmz~mjtkym oi bop bm/zbm aglg`mz to zbop gl{ mykdmljmz
oi zkljmxkt{,
0, Magkcz zmlt pktb foh oiimxz# g~~c{kl` cklez# mtj, zbo}cd hm xm~ckmd gz ~mx
tbm klztx}jtkolz jktmd kl tbm xmcmyglt agkc ox lotkjmz hmkl` ~}hckzbmd,
2, Ki g zt}dmlt z}haktz jolzmlt cmttmx iox gl{ kltmxykmpz# `}mzt ammtkl`# mtj,
gld kz io}ld LJ d}xkl` tbm ~xm!ikrmd dg{/dgtm/tkam "oi g~~okltamlt ox
kltmxykmp+# JXD pkcc ztxgk`btgpg{ dmhgx tbm zt}dmlt/z ixoa ~cgjmamltgjtkyktkmz pktbo}t g zkl`}cgx lotkjm/kltkagtkol/xmw}mzt,
Ikxzt Kltmxgjtkol pktb JXD6
7, Gitmx tbm gddxmzz/kltmxgjtkol oi Tbm Bmgd# JXD d}xkl` tbm Kld}jtkol
^bgzm# gl mrjmc txgjemx ikcm pkcc hm ~xoykdmd to zt}dmltz tbxo}`b Tbm
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^xo`xga Jooxdklgtox/Jcgzz Xm~xmzmltgtkymz, Tbm zt}dmltz gxm dkxmjtmd to
}~dgtm tbmkx joltgjt dmtgkcz "aohkcm % magkc+ gcol` pktb gcc gjgdmakj
dmtgkcz z~mjkikmd kl tbm ikcm to emm~ txgje oi tbmkx ~gzt xmjoxdz oi gjgdmakj
~mxioxagljm, Tbkz xmjoxd kz yktgcc{ ka~oxtglt iox tbm dm~gxtamlt to jgxx{
ol pktb tbm tgzez oi gxxgl`kl` joa~glkmz iox iklgc ~cgjmamlt gt tbm mld oi8ld {mgx,
8, Iox aoxm dmtgkcz ol m!agkc gld jmcc ~bolm joltgjtz# ~cmgzm `o tbxo}`b
JOLTGJTGHKCKT[ JCG]ZM,
:, XMZ]AM ioxaz gl ka~oxtglt amglz oi joaa}lkjgtkl` {o}x ~mxzolg gld to
tgje zoamhod{ pktb tbm ikxzt ka~xmzzkol, G TXGKLKL@ AOD]CM po}cd
igjkcktgtm {o} to tbkle gld mrjmc ol {o}x ioxagt/joltmlt oi Xmz}am,
Xmz}am oi mymx{ zt}dmlt zbo}cd xmgjb JXD kl zoit jo~{ pktb ~boto`xg~b
"kl ioxagcz+ giikrmd ol kt gt jxdNklagltmj,md} pktbkl ikxzt tbxmm aoltbz oi
tbmkx foklkl` kl KLAGLTMJ, Xmz}am pktbo}t ~boto`xg~b pkcc lot hm
mltmxtgklmd iox tbm ~}x~ozm oi ioxpgxdkl` kt to tbm
ox`glkvgtkolz/xmjx}ktmxz,
4, JXD pmcjoamz mljo}xg`mamlt oi zt}dmltz kl h}kcdkl` xmcgtkolz pktb
ox`glkvgtkolz pbmxm tbm{ bgym `ood joltgjtz, Kt gczo mljo}xg`mz zt}dmltz
to ztxml`tbml h}zklmzz lmtpoxekl` kl mymx{ ~ozzkhcm agllmx, Zt}dmltz
pbo jgl ~xoykdm lmjmzzgx{ dmtgkcz oi o~~oxt}lktkmz iox ygxko}z joa~glkmz
}ldmx bkz/bmx ~}xykmp jgl joltgjt JXD ol tbkz,
@]MZT CMJT]XMZ# POXEZBO^Z#
KLD]ZTX[ KLTMXIGJMZ# ZMAKLGXZ#
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JXD AMMTKL@ PKTB BMGD ‚ JXD#
Z^MJKGC ZMZZKOLZ
JXD kld}jtz zt}dmltz to tbm j}ct oi jox~oxgtm tbxo}`b z~mjkgc kltmxigjmz
gxxgl`md h{ tbm dm~gxtamlt, Kt klyktmz z~mjkgc `}mztz oi xm~}tm# to~ jo~z oi tbm
h}zklmzz cohhkmz gld jox~oxgtm `}mztz to tbm jga~}z kl oxdmx to igjkcktgtm
zt}dmltz to `mt tbm hmzt o}t oi tbmkx tpo ioxagtkym {mgxz klto tbm jga~}z,
7, GL[ KLDKZJK^CKLM D]XKL@ TBMZM ZMZZKOLZ PO]CD LOT HM
TOCMXGTMD GT GL[ JOZT GLD JGL CMGD TO MR^MCCGTKOL OI TBM
ZT]DMLT IXOA TBM KLZTKT]TM,
8, Zt}dmltz gxm gdykzmd to joam ~xm~gxmd pktb tbm to~kj oi `}mzt cmjt}xm
hmioxm z}jb zmzzkolz, Tbm{ gxm gczo gdykzmd to emm~ ~xo~mx kdmg oi gl{
ox`glkvgtkol "pbozm oiikjkgc/z po}cd ykzkt tbm jga~}z+ h{ xmimxxkl` tbmkx
pmh ~oxtgcz,
:, Gttmldgljm iox z}jb zmzzkolz kz agldgtox{ iox gcc zt}dmltz, Ghzmltmmkza
pkcc gttxgjt ~mlgct{ mrjm~t to tbm mrtmlt oi zmymxm jgzmz kltkagtmd to tbm
^xo`xga Jooxdklgtox pktb xmgzolz,
4, @}mzt Cmjt}xm IMMDHGJE IOXAZ pkcc hm dkztxkh}tmd gitmx mgjb zmzzkol,
Zt}dmltz po}cd d}c{ ikcc kt zo tbgt ka~xoymamltz jgl hm igjkcktgtmd kl
i}xtbmx zmzzkolz,
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=, Ki gl{ zt}dmlt kz kltmxmztmd to ammt gl{ @}mzt ~mxzolgcc{ hmioxm/gitmx tbm
zmzzkol# tbm{ zbo}cd pxktm gl g~~ckjgtkol olm dg{ ~xkox to tbm xmz~mjtkym
zmzzkol,
9, JXD hmckmymz kl g ~mximjt coo~ oi joaa}lkjgtkol to mlz}xm zo}ld
aglg`mamlt, D}xkl` ammtkl`z/icoox b}xdcmz pktb Tbm Bmgd# JXD mymx{
zt}dmlt a}zt mlz}xm tbmkx ~xmzmljm, Gl{ w}mxkmz jgl hm ~}t }~ xmcgtkl` to
do}htz# z}``mztkolz ox `mlmxgc dkzj}zzkolz, Cgje oi kltmxmzt# akzzkl`
ammtkl`z po}cd hm klj}ahmlt ol zt}dmltz kl jgzm gl{ dkzjxm~gljkmz gxkzm,
0, D}xkl` Kld}ztx{ ykzktz# zt}dmltz a}zt jgxx{ joccm`m KD Jgxdz# lotm ~gdz
gld ~ml kl oxdmx to tgem lotm oi mymx{tbkl` txkykgc/jx}jkgc kl jo}xzm oi tbm
ykzkt, Mrjc}zkym ~boto`xg~bz pktb ~mxakzzkol ixoa tbm xmz~mjtkym
g}tboxktkmz jo}cd imtjb {o} g~~xmjkgtkolz, I}xtbmx# kt jo}cd hm ~}hckzbmd kl
~}hckjgtkolz oi KLAGLTMJ jktkl` tbm lgam oi tbm zt}dmlt,
2, Tkamcklmzz kl jgzm oi tbmzm zmzzkolz bgz to hm tgeml jgxm oi ckem otbmx
gjgdmakj gjtkyktkmz gld jcgzzmz, Zt}dmltz a}zt xmgjb :> akl}tmz ~xkox to
tbm tkam kltkagtmd kl tbm lotkjm/jkxj}cgxz,
;, Zt}dmltz a}zt gczo mlz}xm tbgt d}xkl` gl{ gjtkyktkmz/ml`g`mamlt oi JXD#
tbm{ a}zt zbop tbmkx ~xmzmljm gld gjtkym ~gxtkjk~gtkol klto mymx{tbkl`, Kl
jgzm# d}m to ohck`gtkolz iox gl{ otbmx tgze/gzzk`lamlt gccojgtmd to tbma#
tbm{ zbo}cd joccmjt LOL!^GXTKJK^GTKOL DMJCGXGTKOL IOXA ixoa
JXD gld zk`l kt ixoa joljmxlmd g}tboxkt{, ^cmgzm xmgd @MLMXGC JODMZ
OI JOLD]JT iox dmtgkcz,
Z}aamx Kltmxlzbk~
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"ZK^+
Z}aamx Kltmxlzbk~ ^xo`xga "ZK^+ kz g agldgtox{ gjtkykt{ gz ztgtmd h{ GCCKLDKG JO]LJKC IOX TMJBLKJGC MD]JGTKOL "GKJTM+ iox gpgxdkl`
^ozt @xgd}gtm Dk~coag kl Aglg`mamlt "^@DA+, Kl tbkz 9!2 pmmez
~xo`xga# zt}dmltz bgym to poxe pktb gl{ jox~oxgtm ox`glkvgtkol "hotb
`oymxlamlt gld lol!`oymxlamlt zmt}~+ to cmgxl tbm mzzmltkgc
xmw}kxmamltz lmmdmd to jgxx{ ol tbm zgam tgze tbgt tbm{ bgd mgxckmx cmgxlt
to do klzkdm tbm jcgzzxooa, Zt}dmltz pkcc hm ~xoykdmd pktb g IGJ]CT[
AMLTOX iox tbkz ~xo`xga gld po}cd poxe }ldmx gl KLD]ZTX[ @]KDM to
cmgxl lmjmzzgx{ cmzzolz zk̀ lkikjglt iox g ~xoimzzkolgc dmymco~amlt, Gczo#
Z}aamx Txgklkl` kz g `ood amgz}xmamlt oi g zt}dmlt‛z jgckhmx oi hmkl`
zmcmjtmd iox tbm hmzt fohz kl tbm kld}ztx{, Agl{ zt}dmltz `mt ^XM
^CGJMAMLT OIIMXZ "^^O+ ol tbm hgzkz oi tbm ztxol` E^Kz "Em{
^mxioxagljm Kldkjgtoxz+ mygc}gtmd h{ tbm xmz~mjtkym ox`glkvgtkolz,
7, Iox tbm ~}x~ozm oi Xmz}am# ~cmgzm xmgd Ikxzt Kltmxgjtkol pktb JXD,
8, Tbm z}aamx kltmxlzbk~ pkcc ztgxt ixoa 7=tb oi G~xkc mymx{ {mgx, Zt}dmltz
pbo pkzb to gxxgl`m tbmkx z}aamx kltmxlzbk~ ol tbmkx opl zbo}cd klioxa
JXD h{ 82tb oi Imhx}gx{ gld tbm lgam oi tbm ox`glkvgtkol zbo}cd xmgjb
cgtmzt h{ 7=tb agxjb
:, JXD pkcc gxxgl`m kltmxlzbk~z iox olc{ tbozm zt}dmltz pbo po}cd lot z}hakt
tbmkx g~~ckjgtkol oi zmci!gxxgl`mamlt pktbkl Imhx}gx{ 82, G ckzt pkcc hm
~}hckzbmd jolikxakl` tbm lgamz oi tbm zt}dmltz pbo po}cd tgem }~
kltmxlzbk~z gxxgl`md h{ JXD, G Jolzmlt Ioxa iox mymx{ joa~gl{ lmmdz
to hm ikccmd }~ hmioxm pgcekl` kl iox tbm kltmxykmpz,
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4, Oljm g zt}dmlt gxxgl`mz gl{ joa~gl{ ol bkz/bmx opl jgllot jbgl`m tbm
ox`glkvgtkol gitmx gjelopcmd`mamlt to JXD# lox JXD pkcc gxxgl`m gl{
kltmxlzbk~ iox tbma
=, Zt}dmltz lmmd to jcgxki{ gcc tbmkx do}htz gho}t tbm joa~gl{ gld tbm foh
~xoikcm hmioxm foklkl` tbm joa~gl{, Kl tbkz xm`gxd# zt}dmltz gxm dkxmjtmd to
lotm tbgt gl{ ox`glkvgtkol jgl z}ktghc{ ikt ktz kltmxlz/txgklmmz iox gl{ foh
ymxtkjgc, JXD bocdz lo xocm/~xoakzm to gctmx z}jb dmjkzkolz oi tbm
ox`glkvgtkol5 xgtbmx# kt mljo}xg`mz zt}dmltz to tgem }~ tbozm jbgccml`mz
pktb gl }ljoa~xoakzkl` jolikdmljm,
9, Gz kltmxlzbk~z po}cd hm jgtmxmd gz ~mx zmcmjtkol/gxxgl`mamltz pktb
jolzmlt ixoa zt}dmltz# tbm{ jgllot jbgl`m tbmkx joa~gl{ oi kltmxlzbk~z
cgtmx, G ckzt pkcc hm ~}hckzbmd jolikxakl` lgamz gld xmz~mjtkym
ox`glkvgtkolz oi kltmxlzbk~ hmioxm zt}dmltz iklgcc{ aoym o}t oi tbm jga~}z
iox txgklkl`,
0, Hmioxm cmgykl` tbm jga~}z iox z}aamx kltmxlzbk~# mymx{ zt}dmlt bgym to
joccmjt = "ikym+ immdhgje ioxaz ixoa JXD, Tbm ioxaz lmmd to hm zmld totbm xmz~mjtkym igj}ct{ `}kdm gt xm`}cgx kltmxygcz d}xkl` tbmkx kltmxlzbk~ "kl
mymx{ 7= dg{z+,
2, Tbm ~xofmjt tktcm "7zt immdhgje ioxa+ zbo}cd xmgjb igj}ct{ `}kdm ol ox
hmioxm 7>tb oi Ag{, ^xofmjt tktcm ioxaz gl ka~oxtglt ~gxt oi
ixgakl`/iklgckvkl` tbm ^CGJMAMLT HXOJB]XM tbgt po}cd hm zmlt to
ygxko}z kld}ztx{ bo}zmz/BX aglg`mxz, Zt}dmltz zbo}cd iklgckvm tbm ~xofmjt
tktcm kl z}jb g pg{ "bk`bck`btkl` tbm EXGz/gxmg oi joljmxl+ tbgt ki xmgd
oljm# tbm joljmxlmd gxmg oi ~xofmjt kz mgzkc{ }ldmxztood,
;, Tbm =tb immdhgje ixoa zt}dmltz d}c{ zk`lmd gld zmgcmd h{ tbm Kld}ztx{
@}kdm lmmdz to hm z}hakttmd to JXD hmioxm xm`kztxgtkol iox 4tb txkamztmx,
7/31/2019 CRD-Rules
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7>, D}xkl` z}aamx kltmxlzbk~ zt}dmltz lmmd to hm kl to}jb pktb bkz/bmx
kltmxlgc igj}ct{ amltox gz kltkagtmd h{ TBM ^XO@XGA JOOXDKLGTOX,
KI TBM ZT]DMLTZ GXM IO]LD TO HM LJ OX LOT GDBMXKL@ TO TBM
@MLMXGC X]CMZ OI Z]AAMX TXGKLKL@ KZZ]MD H[ TBM DMGL#
AGLG@MAMLT# 7 JXMDKT ^OKLT PKCC G]TOAGTKJGCC[ HM
DMD]JTMD IXOA TBM @^G "@XGDM ^OKLT GYMXG@M+ OI TBM
ZT]DMLT/Z PKTBO]T GL[ ^XKOX/I]XTBMX KLTKAGTKOL, ^cmgzm
mlz}xm joltmztghkckt{ d}xkl` tbkz tkam, ^cmgzm xmgd Joltxgjtkhkckt{ Jcg}zm
iox dmtgkcz,
77, Tbm kltmxlzbk~ zbo}cd mld ol ox hmioxm 8>tb
F}lm mymx{ {mgx,
78, Zt}dmltz# d}xkl` tbm jo}xzm oi Z}aamx Txgklkl`# pkcc hm mr~ozmd to gcc tbm
~xoz gld jolz oi tbm kld}ztx{ gt olm `o, Tbkz ~mxkod kz yktgc to }ldmxztgld
tbm poxeghkckt{ oi dkiimxmlt ox`glkvgtkolz gt g ztxmtjb, Tbkz po}cd gczo
~xoykdm o~~oxt}lktkmz iox `mttkl` kl to}jb pktb g l}ahmx oi ~xoimzzkolgcz
hmcol`kl` to tbm zkakcgx kld}ztx{/ox`glkvgtkol, Gz tbkz txgklkl` mlghcmz
zt}dmltz to zmcmjt gld dmjkdm tbmkx jo}xzm oi gjtkol to `mt g z}ktghcm
jbokjm oi jgxmmx# JXD mljo}xg`mz zt}dmltz to kltmxgjt pktb gz agl{
~xoimzzkolgcz gz tbm{ jo}cd tgce to, Tbkz po}cd gczo mlbgljm h}zklmzz
lmtpoxekl` iox tbma gld po}cd bmc~ tbma to immd tbmkx jgxmmx ~xo`xmzzkol
kl g bmgctbkmx pg{,
Iklgc ^cgjmamlt6
Tbm iklgc ~cgjmamltz ojj}~{ tbm aozt zk`lkikjglt ~gxt oi g h}zklmzz zjbooc ckim,
Gcc miioxtz oi g zkljmxm jgldkdgtm tbxo}`bo}t tbm {mgx# bkz cmgxlkl` gld gttkt}dm
oi g~~ckjgtkol# bkz ioj}z to bkt tbm h}cc‛z m{m gld bkz mltb}zkgza to hm ~mximjt kl
7/31/2019 CRD-Rules
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gcc zmlzm# hm kt tmjblkjgc# aglg`mxkgc ox ~mo~cm zekccz# hokcz dopl to g `ood oiimx
ixoa g xm~}tmd ox`glkvgtkol,
Mymx{ zt}dmlt gxm xmakldmd oi tbm igjt tbgt# pbkjbmymx pg{ tbm{ tgemz gh}zklmzz zjbooc ckim to hm z~mlt# tbm }ctkagtm aotto zbo}cd gcpg{z hm to joa~mtm
otbmxz gld cmgym hmbkld kl tbm xgjm oi gjbkmykl` tbm tgx`mt oi tbm hmzt
~cgjmamlt,
Zmymxgc kzz}mz xm`gxdkl` iklgc ~cgjmamltz gxkzm d}m to cgje oi elopcmd`m oi
zt}dmltz# zoamtkamz k`loxgljm gczo,
^cmgzm xmgd tbm klztx}jtkolz gld klioxagtkol jgxmi}cc{ gld jboozm {o}x jo}xzm oi
gjtkol,
7, ^cgjmamltz gxm tbm ~xod}jt oi tbxmm a}ctk~ckmxz6 doagkl elopcmd`m#
kltmx~mxzolgc zekccz gld zkljmxkt{ to ~co}`b mymx{ ikmcd oi o~~oxt}lkt{,
Zt}dmltz zbo}cd gcpg{z ztxkem g hgcgljm oi gcc tbmzm igjtoxz kl oxdmx to `mt
tbm hmzt o}t oi tbmkx tpo {mgxz z~mlt kl KLAGLTMJ, Gl{ g~~xmbmlzkolz
gho}t opl ~mxioxagljm zbo}cd hm dkzj}zzmd pktb Dmgl# Aglg`mamlt#
^xo`xga Jooxdklgtoxz# Txgklmxz ox Bmgd!JXD h{ ikrkl` ~xkox
g~~okltamltz,
8, JXD cooez iox to~ jox~oxgtm o~mxgtkl` ~gl!Kldkg, Kt kz ~xmz}amd tbgt
mymx{ zt}dmlt jgl xm!cojgtm gl{pbmxm gjxozz tbm jo}ltx{, Gl{ mrj}zm kltbkz xm`gxd po}cd lot hm tocmxgtmd }lcmzz zoam zmymxm jg}zmz gxm
xm~oxtmd kl pxktkl`,
7/31/2019 CRD-Rules
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:, Kl KLAGLTMJ# zt}dmltz `mt g xgxm ~xkykcm`m to zt}d{ tpo ikmcdz oi
z~mjkgckvgtkol gz ~mx tbmkx jbokjm, Tbmzm z~mjkgckvgtkolz zbo}cd hm
jgxmi}cc{ zmcmjtmd emm~kl` kl akld tbm o~~oxt}lktkmz gld zjo~m kl tbm
j}xxmlt foh agxemt zjmlgxko, Gczo# tbm{ gxm gdykzmd to joljmltxgtm ol hotb
ikmcdz oi z~mjkgckvgtkolz zo tbgt tbm{ jgl xmg~ gdygltg`m oi zt}d{kl` D]GCZ^MJKGCKVGTKOLZ gld jboozm foh gjjoxdkl` to tbm hmzt o~~oxt}lkt{
hxo}`bt to jga~}z,
4, Kltmxykmp dgtmz/tkam pkcc hm ikrmd gz ~mx tbm dkzjxmtkol oi tbm joa~gl{
kltkagtmd to tbm zt}dmltz tbxo}`b JXD, JXD bocdz lo xocm kl gctmxkl` dgtmz
oi kltmxykmpz zmt h{ tbm joa~glkmz# mz~mjkgcc{ iox oii!jga~}z zmzzkolz,
Gl{ xmw}mzt ixoa tbm zt}dmltz kl ikrkl` gctmxlgtm dgtmz po}cd lot hm
mltmxtgklmd, Klghkckt{ to gttmld gl kltmxykmp d}m to gjgdmakj ml`g`mamltz
zbo}cd hm d}c{ xm~oxtmd tbxo}`b tbm LOL ^GXTKJK^GTKOL
DMJCGXGTKOL IOXA zk`lmd h{ tbm joljmxlmd g}tboxkt{/igj}ct{5 mczm# tbm
zt}dmlt pkcc hm IXMMVMD to tbm zoolmx oi gl{ olm hmtpmml }likccmd
ygjgljkmz ox mld oi ~cgjmamlt zmzzkol,
=, Zt}dmltz "agcm jgldkdgtmz mz~mjkgcc{+ `okl` iox AGXEMTKL@ gz olm oi
tbmkx joxm gjtkyktkmz d}xkl` foh a}zt mlz}xm opl jolym{gljm "tpopbmmcmxz+ gz mymx{ ox`glkvgtkol dmagldz tbm zgam, Gctbo}`b tbkz kz lot g
joa~}czkol ixoa tbm dm~gxtamlt# JXD po}cd gczo lot tocmxgtm dmlkgc oi foh
oiimxz gitmx iklgc zmcmjtkol d}m to z}jb cgj}lg ol ~gxt oi tbm zt}dmltz, Iox
z}jb jgzmz# zt}dmltz gxm gdykzmd lot to zkt iox joa~glkmz pbkjb emm~z kt
to hm g agldgtm to bgym opl jolym{gljm,
9, Zt}dmltz a}zt joa~c{ pktb mymx{ loxa oi dkzjk~cklm# dxmzz jodmz#
tkamcklmzz# joltxgjtkhkckt{ gld z}hakzzkol oi xmz}am/gjgdmakj dmtgkcz gz
amltkolmd ghoym,
7/31/2019 CRD-Rules
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0, Lotkjm pktb dmtgkcz oi ygjgljkmz/~ozktkolz kl tbm xmz~mjtkym ox`glkvgtkolz
zbgcc hm dkz~cg{md ol tbm lotkjm hogxd 7!8 dg{z ~xkox to tbm dgtm
zjbmd}cmd iox tbm kltmxykmp,
2, Zt}dmltz zbo}cd jcgxki{ mymx{ do}ht gho}t tbm joa~gl{ gld foh ~xoikcm
hmioxm g~~mgxkl` iox tbm kltmxykmp, JXD pkcc jold}jt tbm jo}lzmckl`
zmzzkol gld dkzj}zz tbm foh dmzjxk~tkol pktb tbm zt}dmltz hmioxm tbm
joa~gl{‛z gxxkygc,
;, Zt}dmltz pbo pkzb to g~~c{ iox g ~gxtkj}cgx o~mlkl` gxm xmw}kxmd to mlxocc
tbmkx lgamz to tbm JXD oiikjkgcz h{ z}hakttkl` JOLZMLT IOXAZ tbgt bgz
to hm joccmjtmd ixoa tbm dm~gxtamlt, Tbm lgamz jgl hm joaa}lkjgtmd
tbxo}`b agkc ox kl zmzzkolz bmcd h{ tbm BMGD!JXD hmioxm tbm kltmxykmpz,
Tbmzm lgamz pkcc hm dkz~cg{md ol tbm lotkjm hogxd,
7>, Oljm g zt}dmlt z}haktz bkz/bmx lgam# kt kz agldgtox{ to gttmld tbmkltmxykmp gld ki zmcmjtmd# bm/zbm pkcc lot hm jolzkdmxmd i}xtbmx kl tbm
~cgjmamlt ~xojmzz gld pkcc hm dmjcgxmd IXMMVMD, Bopmymx# ki gl{
joa~gl{ oiimxz zgcgx{ kl bk`bmx hxgjemtz oi gt cmgzt => - bkem ixoa tbm
j}xxmlt JTJ ol pbkjb tbm zt}dmlt kz zmcmjtmd "Xz, 88#>>> kl jgzm zgcgx{ oi
Xz, 7=#>>>+# tbml gcc dmzmxykl` zt}dmltz pkcc hm gccopmd to g~~mgx
"pbmtbmx tbm{ zmcmjtmd mgxckmx ox lot+,
77, Kt kz joa~}czox{ iox gcc zt}dmltz to gttmld tbm joa~gl{ ~xmzmltgtkol
kxxmz~mjtkym oi tbm loaklgtkol `kyml iox tbm ~gxtkj}cgx joa~gl{,
7/31/2019 CRD-Rules
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78, Gttmldgljm oi zt}dmlt pkcc hm tgeml gld ki kt kz io}ld tbgt tbm zt}dmltz gxm
lot gttmldkl` tbm kltmxykmp gitmx z}hakttkl` bkz/bmx lgam# bm/zbm pkcc lot
hm mck`khcm to tgem ~gxt kl tbm i}xtbmx ~cgjmamlt ~xojmzz,
7:, Tbm l}ahmx oi gttma~tz h{ zt}dmltz pkcc hm ckaktmd to ikym "k,m,# ki g
zt}dmlt kz xmfmjtmd kl ikxzt tpo gttma~tz tbml bm/zbm pkcc `mt g tbkxd
jbgljm# ki bm/zbm kz ztkcc xmfmjtmd tbml tbm zt}dmlt pkcc hm ioxpgxdmd to tbm
zoit zekccz txgklmxz iox i}xtbmx ka~xoymamlt# tbmxmgitmx pkcc hm gccopmd iox
tpo aoxm jbgljmz+,
74, Kl jgzm oi oii!jga~}z kltmxykmpz# ki xmw}kxmd# gl kltmxykmp zbgcc hm
jold}jtmd h{ JXD gt tbm klztkt}tm to gzzmzz tbm z}ktghkckt{ oi tbm
jgldkdgtm,
7=, Gitmx =tb txkamztmx "pbml tbm gjgdmakj zmzzkolz/jcgzzmz po}cd pxg~ }~
gld zt}dmltz pkcc hm ixmm to `o iox foh ox txgklkl`+# JXD pkcc joltgjt
zt}dmltz tbxo}`b magkcz olc{# tbgt too# agdm ol tbm ~oxtgc oi
agkcNklagltmj,md}, Zt}dmltz lmmd to jbmje tbmkx magkcz xm`}cgxc{ gld
xmz~old gjjoxdkl`c{,
79, ^cmgzm lotm tbgt zgcgx{ oiimxmd# ~xoikcm# dmzk`lgtkol# cojgtkol kz tbm xmz~olzkhkckt{ oi tbm
joljmxlmd joa~gl{ gz ~mx tbmkx ~ockjkmz, JXD bgz lo xocm kl tbkz xm`gxd ,
Zt}dmltz‛ Mlxkjbamlt gld
Ma~opmxamlt ^xo`xga
7/31/2019 CRD-Rules
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"ZMM^+
ZMM^ ox –Zt}dmlt Mlxkjbamlt gld Ma~opmxamlt ^xo`xga‑ kz tbm hxgkljbkcd oi
^xoi, ^glegf @}~tg# Mrmj}tkym Dkxmjtox KLAGLTMJ, Kt kz dmzk`lmd emm~kl` kl
ykmp oi tbm cgtmzt dmymco~amltz oi tbm mjoloa{ gld tbm mr~mjtgtkolz oi tbm
~xoz~mjtkym ma~co{mxz oi dkiimxmlt ox`glkvgtkolz, ZMM^ po}cd mlghcm zt}dmltz to
agem tbma miikjkmlt iox tbm foh agxemt kl g ~mximjt pg{ pktbo}t gl{ ekld oi
~xmz}a~tkol ox jcgzz!xooa tmgjbkl`, Kt kz gl gttma~t to mljo}xg`m zt}dmltz to
h}kcd tbmkx jgztcmz oi dxmga h{ o~tkl` iox g jgxmmx kl tbm pg{ tbm{ pgltz kt to hm
dolm'
ZMM^ mlghcmz zt}dmltz to tgem imp bo}xz oi tbmkx pmmec{ zjbmd}cm gld ykzkt
dkiimxmlt joa~gl{ ~xoimzzkolgcz to kltmxgjt pktb tbma gho}t tbmkx kltmxmzt kl tbm
~gxtkj}cgx ox`glkvgtkol ox gxmg oi kltmxmzt ~xgjtkjmd h{ tbm xmz~mjtkym
~xoimzzkolgc, Iox tbkz ~}x~ozm# tbm{ gxm gdykzmd to `mt jollmjtmd to cgx`m
joaa}lktkmz oi xmjx}ktmxz gld ~xoimzzkolgcz kl CklemdKl# Igjm hooe gld Tpkttmx,
Tbm{ gxm mljo}xg`md to agem lmp joltgjtz h{ gjjmzzkl` zojkgc lmtpoxekl`
zktmz# dkzj}zz gho}t i}t}xm ~xoz~mjtz kl tbm xmz~mjtkym ikmcdz oi kltmxmzt gld ki
zjo~m oi o~~oxt}lkt{ kz io}ld# jgl }ldmxtgem ixmmcgljm ckym ~xofmjtz ixoa tbm
joa~gl{ oiikjkgcz,
Iox ZMM^# zt}dmltz pkcc hm }ldmx tbm `}kdgljm oi tbm IGJ]CT[ AMLTOXZ
dmjkdmd h{ TBM ^XO@XGA JOOXDKLGTOX gld po}cd poxe ol ygxko}z ~xofmjtz
gz ~mx dmjkdmd h{ tbm Dm~gxtamlt oi Aglg`mamlt Zt}dkmz,
CMGDZ }ldmx ZMM^ jgl hm dmiklmd gz g –jc}m‑ oi ~xoz~mjtkym xmjx}ktamlt tbgt kz
ol`okl` ox jgl tgem ~cgjm kl lmgx i}t}xm, Tbkz bkltz ~ozzkhkckt{ oi kltgem kl
xmz~mjtkym joa~glkmz, Gcc zt}dmltz gxm dkxmjtmd to `mlmxgtm gz agl{ cmgdz gz
7/31/2019 CRD-Rules
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~ozzkhcm kl oxdmx to kljxmgzm tbmkx jbgljmz oi `mttkl` ~cgjmd pktb tbm dmzkxmd
poxe ~xoikcm tbm{ gz~kxmz to hm ikt klto,
Cmgdz jgl hm ioxpgxdmd to JXD tbxo}`b Igj}ct{ Amltoxz gitmx pbkjb# kt pkcc hmioccopmd }~ iox Jga~}z ^cgjmamltz kl tbm z}hzmw}mlt ~cgjmamlt pmmez,
^xoz~mjtkym xmjx}ktmxz jgl gczo klioxamd gho}t tbm mrjc}zkym ~oxtgc oi
~cgjmamlt6 ppp,klagltmj,md}/~cgjmamlt,gz~r
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tbxo}`b ~xgjtkjgc mr~oz}xmz pbmxm tbm{ po}cd hm `}kdmd to cmgxl bop to poxe
kldm~mldmltc{ iox zmci!`xoptb gld z}jjmzz,
IOXAZ
Tbm ckztz oi IOXAZ tbgt jgl hm joccmjtmd h{ zt}dmltz ixoa JXD gxm ml}amxgtmd
hmcop6 !
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to tgem ~cgjmamlt kl g
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7/31/2019 CRD-Rules
http://slidepdf.com/reader/full/crd-rules 19/22
Mrjmc Txgjemx Zt}dmlt Zt}dmlt Pktbkl ikxzt
tpo aoltbz
oi foklkl`
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7/31/2019 CRD-Rules
http://slidepdf.com/reader/full/crd-rules 20/22
joa~cmtkol
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bmcd gll}gcc{ klyocykl` aoxm tbgl =>>> ~xmztk`ko}z gc}alk oi
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8, Zt}dmltz pkcc z}hakt tbm joa~gl{ lgam pbmxm tbm{
gxm `okl` to do Z}aamx Kltmxlzbk~ h{ 7=tb Agxjb
:, @}mzt Tgce iox ^@DA :xd Txkamztmx
4, Kld}ztxkgc ykzkt iox ^@DA :xd Txkamztmx
Dgtg Joccmjtkol iox ~cgjmamlt Hxojb}xm gld JXD xmjoxd
7/31/2019 CRD-Rules
http://slidepdf.com/reader/full/crd-rules 21/22
7, ^boto zmzzkol iox ^cgjmamlt Hxojb}xm
8, Z}aamx Txgklkl` ^xofmjt Dmtgkcz joccmjtkol ixoa
zt}dmltz
:, Pxktm }~ joccmjtkol ixoa BOD/Igj}ct{ iox ^cgjmamltHxojb}xm
4, Jooxdklgtkol iox ~cgjmamlt Hxojb}xm ^xkltkl` gld
Joccmjtkol
7, ^cgjmamlt Hxojb}xm dkztxkh}tkol to joa~glkmz
8, Joa~glkmz Ykzkt iox iklgc ~cgjmamlt
:, Z}aamx Kltmxlzbk~ immdhgje ixoa zt}dmltz gld tbmkx
xmz~mjtkym joa~glkmz
7, Jox~oxgtm @}mzt Tgce iox ^@DA 7zt Txkamztmx
8, Jox~oxgtm @}mzt Tgce iox ^@DA 4tb Txkamztmx
7, Kld}ztxkgc Ykzkt iox ^@DA 7zt Txkamztmx
8, Kld}ztxkgc ykzkt iox ^@DA 4tb Txkamztmx
:, Kld}ztxkgc ykzkt iox HHG 8ld {mgx zt}dmltz
7, Joa~glkmz ykzkt/Ioccop }~ iox iklgc ~cgjmamlt
7, Jox~oxgtm @}mzt Tgce iox ^@DA 8ld Txkamztmx
8, Kld}ztxkgc ykzkt iox ^@DA 8ld Txkamztmx
:, Jox~oxgtm `}mzt Tgce iox ^@DA =tb Txkamztmx
7/31/2019 CRD-Rules
http://slidepdf.com/reader/full/crd-rules 22/22
4, Iklgc ^cgjmamlt ~xm~gxgtkol iox ^@DA =tb Txkamztmx
7, Iklgc ~cgjmamlt iox ^@DA =tb Txkamztmx
8, AJG =tb Zmamztmx ^cgjmamlt/iklgc ^xofmjt
gxxgl`mamlt