Order Rule

Order Approving Proposed Rule Change Relating to FINRA Rule 4570 (Custodian of Books and Records)

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Title

Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to FINRA Rule 4570 (Custodian of Books and Records)

Release Number

34-84982

SEC Issue Date

Jan. 11, 2019

Federal Register Publish Date

Feb. 4, 2019

Document Citation

84 FR 1525

Resources

Notice Rule: SEC Issued Version (pdf 83.33 KB)

Notice Rule: Federal Register Version

Title

Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 4570 (Custodian of Books and Records)

Release Number

34-84646

SEC Issue Date

Nov. 26, 2018

Federal Register Publish Date

Nov. 30, 2018

Document Citation

83 FR 61689

Resources

Notice Rule: SEC Issued Version (pdf 138.23 KB)

Notice Rule: Federal Register Version

Exhibit 5

View Received Comments

Last Reviewed or Updated: Feb. 27, 2019

Resources

Order Rule: SEC Issued Version (pdf 195.99 KB)

Order Rule: Federal Register Version

Details

File Number

SR-FINRA-2018-039

Rule Type

Order

Release Number

34-85209

SEC Issue Date

Feb. 27, 2019

Federal Register Publish Date

March 5, 2019

Document Citation

84 FR 7945

Rules & Regulations

Enforcement & Litigation

Compliance

Order Approving Proposed Rule Change Relating to FINRA Rule 4570 (Custodian of Books and Records)

Resources

Resources

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More in this Section

Order Approving Proposed Rule Change Relating to FINRA Rule 4570 (Custodian of Books and Records)

Notice Rule (34-84982)

Resources

Notice Rule (34-84646)

Resources

Resources

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