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Regulatory Release

Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 12000 Series To Expand Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive

Details

Rule Type

Notice

Release Number

34-87557

SEC Issue Date

Nov. 18, 2019 | 1:49 pm ET

Federal Register Publish Date

Nov. 22, 2019 | 11:32 pm ET

Document Citation

84 FR 64581

Resources

34-87557

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 a Proposed Rule Change To Amend FINRA Rule 12000 Series To Expand Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive

Details

Resources

More in this Section

Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 12000 Series To Expand Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive

Details

Resources