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Regulatory Release

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Short-Form Membership Application Process and Partial Fee Waiver for Certain Firms Applying Due to Amended Exchange Act Rule 15b9-1

Details

Rule Type

Notice

Release Number

34-98850

SEC Issue Date

Nov. 3, 2023 | 10:33 am ET

Resources

34-98850

SRO Organization

Financial Industry Regulatory Authority (FINRA)

Last Reviewed or Updated: Dec. 4, 2023

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Short-Form Membership Application Process and Partial Fee Waiver for Certain Firms Applying Due to Amended Exchange Act Rule 15b9-1

Details

Resources

More in this Section

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Short-Form Membership Application Process and Partial Fee Waiver for Certain Firms Applying Due to Amended Exchange Act Rule 15b9-1

Details

Resources