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Notice Rule

Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Form U4 Regarding the Reporting of Unsatisfied Judgments and Liens

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

Submit a Comment on SR-FINRA-2013-034

View Received Comments

Last Reviewed or Updated: Aug. 19, 2013

Resources

Notice Rule: SEC Issued Version (pdf 37.25 KB)

Notice Rule: Federal Register Version

Details

Public Comments Due

Sept. 13, 2013

File Number

SR-FINRA-2013-034

Rule Type

Notice

Release Number

34-70227

SEC Issue Date

Aug. 19, 2013

Federal Register Publish Date

Aug. 23, 2013

Document Citation

78 FR 52594

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Form U4 Regarding the Reporting of Unsatisfied Judgments and Liens

Public Comments

Resources

Details

More in this Section

Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Form U4 Regarding the Reporting of Unsatisfied Judgments and Liens

Public Comments

Resources

Details