Order Rule

Order Approving Proposed Rule Change Relating to FINRA Rule 4512 (Customer Account Information)

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 4512 (Customer Account Information)

Release Number

34-85003

SEC Issue Date

Jan. 30, 2019

Federal Register Publish Date

Feb. 5, 2019

Document Citation

84 FR 1809

Resources

Notice Rule: SEC Issued Version (pdf 84.97 KB)

Notice Rule: Federal Register Version

Title

Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 4512 (Customer Account Information)

Release Number

34-84788

SEC Issue Date

Dec. 11, 2018

Federal Register Publish Date

Dec. 17, 2018

Document Citation

83 FR 64609

Resources

Notice Rule: SEC Issued Version (pdf 132.4 KB)

Notice Rule: Federal Register Version

Exhibit 5

View Received Comments

Last Reviewed or Updated: March 11, 2019

Resources

Order Rule: SEC Issued Version (pdf 105.12 KB)

Order Rule: Federal Register Version

Details

File Number

SR-FINRA-2018-040

Rule Type

Order

Release Number

34-85282

SEC Issue Date

March 11, 2019

Federal Register Publish Date

March 15, 2019

Document Citation

84 FR 9573

Rules & Regulations

Enforcement & Litigation

Compliance

Order Approving Proposed Rule Change Relating to FINRA Rule 4512 (Customer Account Information)

Resources

Resources

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More in this Section

Order Approving Proposed Rule Change Relating to FINRA Rule 4512 (Customer Account Information)

Notice Rule (34-85003)

Resources

Notice Rule (34-84788)

Resources

Resources

Details