Notice Rule

Notice of Filing of a Proposed Rule Change To Adopt Supplementary Material .19 (Residential Supervisory Location) Under FINRA Rule 3110 (Supervision)

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

Submit a Comment on SR-FINRA-2023-006
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Title
Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change, as modified by Amendment No. 1, to Adopt Supplementary Material .19 (Residential Supervisory Location) under FINR
Release Number
34-97839
SEC Issue Date

Resources

Notice Rule: SEC Issued Version (pdf 168.55 KB)

Last Reviewed or Updated: Sept. 30, 2024

Resources

Notice Rule: SEC Issued Version (pdf 460.78 KB)

Details

Public Comments Due

21 days after publication in the Federal Register

File Number
SR-FINRA-2023-006
Rule Type
Notice
Release Number
34-98980
SEC Issue Date