Notice Rule

Order Approving a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Include Information About the Member Firms and Their Associated Persons of Any Registered National Securities Exchange That Uses the CRD System for Registration Purposes

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Title

Order Approving a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Include Information About the Member Firms and Their Associated Persons of Any Registered National Securities Exchange That Uses the CRD System for Registrat

Release Number

34-71195

SEC Issue Date

Dec. 27, 2013

Federal Register Publish Date

Jan. 3, 2014

Document Citation

79 FR 419

Resources

Order Rule: SEC Issued Version (pdf 41.75 KB)

Order Rule: Federal Register Version

Rel. No. 34-70880

Last Reviewed or Updated: Dec. 27, 2013

Resources

Notice Rule: SEC Issued Version (pdf 32.15 KB)

Notice Rule: Federal Register Version

Exhibit 5

Rel. No. 34-71195

Details

File Number

SR-FINRA-2013-047

Rule Type

Notice

Release Number

34-70880

SEC Issue Date

Nov. 14, 2013

Federal Register Publish Date

Nov. 20, 2013

Document Citation

78 FR 69732

Rules & Regulations

Enforcement & Litigation

Compliance

Order Approving a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Include Information About the Member Firms and Their Associated Persons of Any Registered National Securities Exchange That Uses the CRD System for Registration Purposes

Resources

Resources

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Order Approving a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Include Information About the Member Firms and Their Associated Persons of Any Registered National Securities Exchange That Uses the CRD System for Registration Purposes

Order Rule (34-71195)

Resources

Resources

Details