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Regulatory Release

Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 5160 (Disclosure of Price and Concessions in Selling Agreements) in the Consolidated FINRA Rulebook

Details

Rule Type

Notice

Release Number

34-61171

SEC Issue Date

Dec. 15, 2009 | 1:50 pm ET

Federal Register Publish Date

Dec. 22, 2009 | 11:35 pm ET

Document Citation

74 FR 68081

Resources

Rel. No. 34-61171

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 Adopt FINRA Rule 5160 (Disclosure of Price and Concessions in Selling Agreements) in the Consolidated FINRA Rulebook

Details

Resources

More in this Section

Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 5160 (Disclosure of Price and Concessions in Selling Agreements) in the Consolidated FINRA Rulebook

Details

Resources