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Notice Rule

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Capital Acquisition Broker ("CAB") Rules Governing Qualification, Registration and Continuing Education of Associated Persons of CABs

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Last Reviewed or Updated: March 26, 2019

Resources

Notice Rule: SEC Issued Version (pdf 168.21 KB)

Notice Rule: Federal Register Version

Exhibit 5

Details

Public Comments Due

April 22, 2019

File Number

SR-FINRA-2019-006

Rule Type

Notice

Release Number

34-85413

SEC Issue Date

March 26, 2019

Federal Register Publish Date

April 1, 2019

Document Citation

84 FR 12311

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Capital Acquisition Broker ("CAB") Rules Governing Qualification, Registration and Continuing Education of Associated Persons of CABs

Resources

Details

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Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Capital Acquisition Broker ("CAB") Rules Governing Qualification, Registration and Continuing Education of Associated Persons of CABs

Resources

Details