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 Exemptions From the Order Audit Trail System Recording and Reporting Requirements

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Last Reviewed or Updated: June 11, 2015

Resources

Notice Rule: SEC Issued Version (pdf 115.58 KB)

Notice Rule: Federal Register Version

Details

Public Comments Due

July 8, 2015

File Number

SR-FINRA-2015-016

Rule Type

Notice

Release Number

34-75160

SEC Issue Date

June 11, 2015

Federal Register Publish Date

June 17, 2015

Document Citation

80 FR 34727

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exemptions From the Order Audit Trail System Recording and Reporting Requirements

Resources

Details

More in this Section

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exemptions From the Order Audit Trail System Recording and Reporting Requirements

Resources

Details