Skip to search field Skip to main content

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS
A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

Notice Rule

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Serving Electronically Written Decisions on Members Seeking Exemptive Relief Under NASD Rule 1070

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Last Reviewed or Updated: July 17, 2014

Resources

Notice Rule: SEC Issued Version (pdf 33.75 KB)

Notice Rule: Federal Register Version

Details

Public Comments Due

Aug. 13, 2014

File Number

SR-FINRA-2014-033

Rule Type

Notice

Release Number

34-72638

SEC Issue Date

July 17, 2014

Federal Register Publish Date

July 23, 2014

Document Citation

79 FR 42850

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Serving Electronically Written Decisions on Members Seeking Exemptive Relief Under NASD Rule 1070

Resources

Details

More in this Section

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Serving Electronically Written Decisions on Members Seeking Exemptive Relief Under NASD Rule 1070

Resources

Details