Notice Rule

Order Approving a Proposed Rule Change Relating to Capital Acquisition Broker Rules 203 (Engaging in Distribution and Solicitation Activities With Government Entities) and 458 (Books and Records Requirements for Government Distribution and Solicitation Activities)

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Title
Order Approving a Proposed Rule Change Relating to Capital Acquisition Broker Rules 203 (Engaging in Distribution and Solicitation Activities With Government Entities) and 458 (Books and Records Requirements for Government Distribution and Solicitation Ac
Release Number
34-81781
SEC Issue Date
Federal Register Publish Date
Document Citation

82 FR 46559

Resources

Order Rule: SEC Issued Version (pdf 189.08 KB)
Order Rule: Federal Register Version
Rel. No. 34-81438

Last Reviewed or Updated: Sept. 29, 2017