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 To Adopt FINRA Rule 2122 (Charges for Services Performed) in the Consolidated FINRA Rulebook

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

Submit a Comment on SR-FINRA-2014-049

Last Reviewed or Updated: Dec. 2, 2014

Resources

Notice Rule: SEC Issued Version (pdf 34.67 KB)

Notice Rule: Federal Register Version

Details

Public Comments Due

Dec. 29, 2014

File Number

SR-FINRA-2014-049

Rule Type

Notice

Release Number

34-73714

SEC Issue Date

Dec. 2, 2014

Federal Register Publish Date

Dec. 8, 2014

Document Citation

79 FR 72743

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt FINRA Rule 2122 (Charges for Services Performed) in the Consolidated FINRA Rulebook

Public Comments

Resources

Details

More in this Section

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt FINRA Rule 2122 (Charges for Services Performed) in the Consolidated FINRA Rulebook

Public Comments

Resources

Details