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Regulatory Release

Notice of Filing of Proposed Rule Change To Create Exception to Principal Approval Requirements for Certain Filed Sales Material

Details

Rule Type

Notice

Release Number

34-57010

SEC Issue Date

Dec. 20, 2007 | 1:50 pm ET

Federal Register Publish Date

Dec. 28, 2007 | 11:36 pm ET

Document Citation

72 FR 73928

Resources

Rel. No. 34-57010

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 Create Exception to Principal Approval Requirements for Certain Filed Sales Material

Details

Resources

More in this Section

Notice of Filing of Proposed Rule Change To Create Exception to Principal Approval Requirements for Certain Filed Sales Material

Details

Resources