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Regulatory Release

Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Address Brokers With a Significant History of Misconduct

Details

Rule Type

Order

Release Number

34-90635

SEC Issue Date

Dec. 10, 2020 | 1:49 pm ET

Federal Register Publish Date

Dec. 16, 2020 | 11:32 pm ET

Document Citation

85 FR 81540

Resources

34-90635

Federal Register Version

SRO Organization

Financial Industry Regulatory Authority (FINRA)

Last Reviewed or Updated: July 19, 2023

Rules & Regulations

Enforcement & Litigation

Compliance

Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Address Brokers With a Significant History of Misconduct

Details

Resources

More in this Section

Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Address Brokers With a Significant History of Misconduct

Details

Resources