Regulatory Release

Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting New NYSE MKT Rules 2090-Equities (Know Your Customer) and 2111-Equities (Suitability) That Are Substantially Similar to FINRA Rules 2090 (Know Your Customer) and 2111 (Suitability), Deleting Current NYSE MKT Rule 405-Equities (Diligence as to Accounts), and Making Other Conforming Changes

Details

Rule Type
Notice
Release Number
34-78106
SEC Issue Date
Federal Register Publish Date
Document Citation

81 FR 41364

Resources

34-78106
Federal Register Version
SRO Organization
NYSE MKT (NYSEMKT)

Last Reviewed or Updated: July 19, 2023