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Notice Rule

Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Exception Relating to Transfers of Proprietary Securities Positions in Connection With Certain Corporate Control Transactions

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Last Reviewed or Updated: Oct. 25, 2011

Resources

Notice Rule: SEC Issued Version (pdf 53.49 KB)

Notice Rule: Federal Register Version

Exhibit 5

Details

Public Comments Due

Nov. 21, 2011

File Number

SR-FINRA-2011-061

Rule Type

Notice

Release Number

34-65618

SEC Issue Date

Oct. 25, 2011

Federal Register Publish Date

Oct. 31, 2011

Document Citation

76 FR 67236

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Exception Relating to Transfers of Proprietary Securities Positions in Connection With Certain Corporate Control Transactions

Resources

Details

More in this Section

Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Exception Relating to Transfers of Proprietary Securities Positions in Connection With Certain Corporate Control Transactions

Resources

Details