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Comments on FINRA Rulemaking

Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Form U4 Regarding the Reporting of Unsatisfied Judgments and Liens

(Release No. 34-70227; File No. SR-FINRA-2013-034)

Sep. 13, 2013 William A. Jacobson, Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York







Modified: 09/16/2013