Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 4570 (Custodian of Books and Records)

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Date Received
Date Letter Type Commenter Name
Public Comment Julia Bogolin, Counsel, Financial Industry Regulatory Authority, Inc.
Public Comment Richard J. O'Brien, Chief Compliance Officer, National Financial Services LLC

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2018-039
Release Number
34-84646
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