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Regulatory Release

Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest) in the Consolidated FINRA Rulebook

Details

Rule Type

Notice

Release Number

34-62199

SEC Issue Date

June 1, 2010 | 2:50 pm ET

Federal Register Publish Date

June 4, 2010 | 11:35 pm ET

Document Citation

75 FR 31825

Resources

Rel. No. 34-62199

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 5121 (Public Offerings of Securities With Conflicts of Interest) in the Consolidated FINRA Rulebook

Details

Resources

More in this Section

Notice of Filing of Proposed Rule Change To Adopt FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest) in the Consolidated FINRA Rulebook

Details

Resources