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Regulatory Release

Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto, To Amend the FINRA Rule 9520 Series Regarding Eligibility Procedures for Persons Subject to Certain Disqualifications

Details

Rule Type

Notice

Release Number

34-59208

SEC Issue Date

Jan. 6, 2009 | 1:50 pm ET

Federal Register Publish Date

Jan. 13, 2009 | 11:35 pm ET

Document Citation

74 FR 1738

Resources

Rel. No. 34-59208

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 and Amendment No. 1 Thereto, To Amend the FINRA Rule 9520 Series Regarding Eligibility Procedures for Persons Subject to Certain Disqualifications

Details

Resources

More in this Section

Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto, To Amend the FINRA Rule 9520 Series Regarding Eligibility Procedures for Persons Subject to Certain Disqualifications

Details

Resources