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Regulatory Release

Notice of Filing and Immediate Effectiveness of Proposed Technical Amendment to the Interpretive Notice to NFA Compliance Rule 2-9: Special Supervisory Requirements for Members Registered as Broker-Dealers under Section 15(b)(11) of the Securities Exchange Act of 1934

Details

Rule Type

Notice

Release Number

34-83491

SEC Issue Date

June 21, 2018 | 3:21 pm ET

Federal Register Publish Date

June 27, 2018 | 12:31 am ET

Document Citation

83 FR 30206

Resources

34-83491

Federal Register Version

SRO Organization

National Futures Association

Last Reviewed or Updated: Aug. 31, 2023

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of Proposed Technical Amendment to the Interpretive Notice to NFA Compliance Rule 2-9: Special Supervisory Requirements for Members Registered as Broker-Dealers under Section 15(b)(11) of the Securities Exchange Act of 1934

Details

Resources

More in this Section

Notice of Filing and Immediate Effectiveness of Proposed Technical Amendment to the Interpretive Notice to NFA Compliance Rule 2-9: Special Supervisory Requirements for Members Registered as Broker-Dealers under Section 15(b)(11) of the Securities Exchange Act of 1934

Details

Resources