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Regulatory Release

Notice of Filing of Proposed Rule Change To Amend NASD Rule 2711 and NYSE Rule 472 Regarding a Member's Disclosure and Supervisory Review Obligations When Distributing Third-Party Research

Details

Rule Type

Notice

Release Number

34-56480

SEC Issue Date

Sept. 20, 2007 | 2:50 pm ET

Federal Register Publish Date

Sept. 26, 2007 | 11:36 pm ET

Document Citation

72 FR 54698

Resources

Rel. No. 34-56480

Federal Register Version

SRO Organization

Financial Industry Regulatory Authority (FINRA)

Last Reviewed or Updated: July 19, 2023

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing of Proposed Rule Change To Amend NASD Rule 2711 and NYSE Rule 472 Regarding a Member's Disclosure and Supervisory Review Obligations When Distributing Third-Party Research

Details

Resources

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Notice of Filing of Proposed Rule Change To Amend NASD Rule 2711 and NYSE Rule 472 Regarding a Member's Disclosure and Supervisory Review Obligations When Distributing Third-Party Research

Details

Resources