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Notice Rule

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 5131 (New Issue Allocations and Distributions) To Provide FINRA With General Exemptive Authority

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Last Reviewed or Updated: Feb. 27, 2014

Resources

Notice Rule: SEC Issued Version (pdf 38.86 KB)

Notice Rule: Federal Register Version

Details

Public Comments Due

March 26, 2014

File Number

SR-FINRA-2014-009

Rule Type

Notice

Release Number

34-71625

SEC Issue Date

Feb. 27, 2014

Federal Register Publish Date

March 5, 2014

Document Citation

79 FR 12551

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 5131 (New Issue Allocations and Distributions) To Provide FINRA With General Exemptive Authority

Resources

Details

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Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 5131 (New Issue Allocations and Distributions) To Provide FINRA With General Exemptive Authority

Resources

Details