Notice Rule

Order Approving a Proposed Rule Change To Amend FINRA's Corporate Financing Rules To Simplify and Refine the Scope of the Rules

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Title

Notice of Filing of a Proposed Rule Change To Amend FINRA's Corporate Financing Rules To Simplify and Refine the Scope of the Rules

Release Number

34-71372

SEC Issue Date

Jan. 23, 2014

Federal Register Publish Date

Jan. 29, 2014

Document Citation

79 FR 4793

Resources

Notice Rule: SEC Issued Version (pdf 48.79 KB)

Notice Rule: Federal Register Version

Exhibit 5

Rel. No. 34-72033

Rel. No. 34-71642

View Received Comments

Title

Order Approving a Proposed Rule Change To Amend FINRA's Corporate Financing Rules To Simplify and Refine the Scope of the Rules

Release Number

34-72033

SEC Issue Date

April 28, 2014

Federal Register Publish Date

May 1, 2014

Document Citation

79 FR 24802

Resources

Order Rule: SEC Issued Version (pdf 75.39 KB)

Order Rule: Federal Register Version

Rel. No. 34-71642

Rel. No. 34-71372

Last Reviewed or Updated: April 28, 2014

Resources

Notice Rule: SEC Issued Version (pdf 8.43 KB)

Notice Rule: Federal Register Version

Rel. No. 34-72033

Rel. No. 34-71372

Details

File Number

SR-FINRA-2014-003

Rule Type

Notice

Release Number

34-71642

SEC Issue Date

March 4, 2014

Federal Register Publish Date

March 10, 2014

Document Citation

79 FR 13364

Rules & Regulations

Enforcement & Litigation

Compliance

Order Approving a Proposed Rule Change To Amend FINRA's Corporate Financing Rules To Simplify and Refine the Scope of the Rules

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Order Approving a Proposed Rule Change To Amend FINRA's Corporate Financing Rules To Simplify and Refine the Scope of the Rules

Notice Rule (34-71372)

Resources

Order Rule (34-72033)

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