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Regulatory Release

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Form U4 and FINRA Rule 3110.19(d) (Obligation to Provide List of RSLs to FINRA) for New RSL Question

Details

Rule Type

Notice

Release Number

34-101052

SEC Issue Date

Sept. 17, 2024 | 2:27 pm ET

Resources

34-101052

SRO Organization

Financial Industry Regulatory Authority (FINRA)

Last Reviewed or Updated: Oct. 4, 2024

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Form U4 and FINRA Rule 3110.19(d) (Obligation to Provide List of RSLs to FINRA) for New RSL Question

Details

Resources

More in this Section

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Form U4 and FINRA Rule 3110.19(d) (Obligation to Provide List of RSLs to FINRA) for New RSL Question

Details

Resources