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Notice Rule

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 1220(a)(4), Financial and Operations Principal and Introducing Broker-Dealer Financial and Operations Principal

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Last Reviewed or Updated: Aug. 16, 2018

Resources

Notice Rule: SEC Issued Version (pdf 134.32 KB)

Notice Rule: Federal Register Version

Exhibit 5

Details

Public Comments Due

Sept. 12, 2018

File Number

SR-FINRA-2018-031

Rule Type

Notice

Release Number

34-83863

SEC Issue Date

Aug. 16, 2018

Federal Register Publish Date

Aug. 22, 2018

Document Citation

83 FR 42535

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 1220(a)(4), Financial and Operations Principal and Introducing Broker-Dealer Financial and Operations Principal

Resources

Details

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Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 1220(a)(4), Financial and Operations Principal and Introducing Broker-Dealer Financial and Operations Principal

Resources

Details