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Regulatory Release

Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Exception Relating to Transfers of Proprietary Securities Positions in Connection With Certain Corporate Control Transactions

Details

Rule Type

Notice

Release Number

34-65618

SEC Issue Date

Oct. 25, 2011 | 2:50 pm ET

Federal Register Publish Date

Oct. 31, 2011 | 11:34 pm ET

Document Citation

76 FR 67236

Resources

34-65618

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 and Immediate Effectiveness of Proposed Rule Change To Expand the Exception Relating to Transfers of Proprietary Securities Positions in Connection With Certain Corporate Control Transactions

Details

Resources

More in this Section

Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Exception Relating to Transfers of Proprietary Securities Positions in Connection With Certain Corporate Control Transactions

Details

Resources