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Regulatory Release

Notice of Filing of Proposed Rule Change To Adopt Rules Governing Guarantees, Carrying Agreements, Security Counts and Supervision of General Ledger Accounts in the Consolidated FINRA Rulebook

Details

Rule Type

Notice

Release Number

34-63375

SEC Issue Date

Nov. 24, 2010 | 1:50 pm ET

Federal Register Publish Date

Dec. 1, 2010 | 11:35 pm ET

Document Citation

75 FR 74759

Resources

Rel. No. 34-63375

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 Rules Governing Guarantees, Carrying Agreements, Security Counts and Supervision of General Ledger Accounts in the Consolidated FINRA Rulebook

Details

Resources

More in this Section

Notice of Filing of Proposed Rule Change To Adopt Rules Governing Guarantees, Carrying Agreements, Security Counts and Supervision of General Ledger Accounts in the Consolidated FINRA Rulebook

Details

Resources