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Regulatory Release

Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Form U4 Regarding the Reporting of Unsatisfied Judgments and Liens

Details

Rule Type

Notice

Release Number

34-70227

SEC Issue Date

Aug. 19, 2013 | 2:50 pm ET

Federal Register Publish Date

Aug. 23, 2013 | 11:34 pm ET

Document Citation

78 FR 52594

Resources

34-70227

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 Amend the Form U4 Regarding the Reporting of Unsatisfied Judgments and Liens

Details

Resources

More in this Section

Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Form U4 Regarding the Reporting of Unsatisfied Judgments and Liens

Details

Resources