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Notice Rule

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exemptions From the Order Audit Trail System Recording and Reporting Requirements

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Last Reviewed or Updated: July 25, 2019

Resources

Notice Rule: SEC Issued Version (pdf 128.78 KB)

Notice Rule: Federal Register Version

Details

Public Comments Due

Aug. 21, 2019

File Number

SR-FINRA-2019-021

Rule Type

Notice

Release Number

34-86479

SEC Issue Date

July 25, 2019

Federal Register Publish Date

July 31, 2019

Document Citation

84 FR 37369

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exemptions From the Order Audit Trail System Recording and Reporting Requirements

Resources

Details

More in this Section

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exemptions From the Order Audit Trail System Recording and Reporting Requirements

Resources

Details