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Notice Rule

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Remaining Legacy NASD and Incorporated NYSE Rules as FINRA Rules

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

View Received Comments

Last Reviewed or Updated: April 10, 2019

Resources

Notice Rule: SEC Issued Version (pdf 172.39 KB)

Notice Rule: Federal Register Version

Exhibit 5

Details

Public Comments Due

May 7, 2019

File Number

SR-FINRA-2019-009

Rule Type

Notice

Release Number

34-85589

SEC Issue Date

April 10, 2019

Federal Register Publish Date

April 16, 2019

Document Citation

84 FR 15646

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Remaining Legacy NASD and Incorporated NYSE Rules as FINRA Rules

Public Comments

Resources

Details

More in this Section

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Remaining Legacy NASD and Incorporated NYSE Rules as FINRA Rules

Public Comments

Resources

Details