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Notice Rule

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend NASD Rules 1022 (Categories of Principal Registration) and 1032 (Categories of Representative Registration)

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Last Reviewed or Updated: Dec. 15, 2015

Resources

Notice Rule: SEC Issued Version (pdf 174.18 KB)

Notice Rule: Federal Register Version

Exhibit 5

Details

Public Comments Due

Jan. 11, 2016

File Number

SR-FINRA-2015-052

Rule Type

Notice

Release Number

34-76650

SEC Issue Date

Dec. 15, 2015

Federal Register Publish Date

Dec. 21, 2015

Document Citation

80 FR 79362

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend NASD Rules 1022 (Categories of Principal Registration) and 1032 (Categories of Representative Registration)

Resources

Details

More in this Section

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend NASD Rules 1022 (Categories of Principal Registration) and 1032 (Categories of Representative Registration)

Resources

Details