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

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Date Received
Date Letter Type Commenter Name
Public Comment William A. Jacobson, Clinical Professor of Law, Cornell Law School, and Director, Cornell Securities Law Clinic, Ithaca, New York

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2013-034
Release Number
34-70227
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