Notice Rule

Order Approving Proposed Rule Change To Create Exception to Principal Approval Requirements for Certain Filed Sales Material

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

Title

Release Number

34-57257

SEC Issue Date

Feb. 1, 2008

Federal Register Publish Date

Feb. 7, 2008

Document Citation

73 FR 7339

Resources

Order Rule: SEC Issued Version (pdf 110.44 KB)

Order Rule: Federal Register Version

Rel. No. 34-57010

View Received Comments

Last Reviewed or Updated: Feb. 1, 2008

Resources

Notice Rule: SEC Issued Version (pdf 38.02 KB)

Notice Rule: Federal Register Version

Rel. No. 34-57257

Details

File Number

SR-FINRA-2007-020

Rule Type

Notice

Release Number

34-57010

SEC Issue Date

Dec. 20, 2007

Federal Register Publish Date

Dec. 28, 2007

Document Citation

72 FR 73928

Rules & Regulations

Enforcement & Litigation

Compliance

Order Approving Proposed Rule Change To Create Exception to Principal Approval Requirements for Certain Filed Sales Material

Public Comments

Resources

Resources

Details

More in this Section

Order Approving Proposed Rule Change To Create Exception to Principal Approval Requirements for Certain Filed Sales Material

Public Comments

Order Rule (34-57257)

Resources

Resources

Details