Notice Rule

Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to FINRA's Suitability, Non-Cash Compensation and Capital Acquisition Broker (CAB) Rules in Response to Regulation Best Interest

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

Submit a Comment on SR-FINRA-2020-007

Title

Notice of Filing of a Proposed Rule Change to FINRA's Suitability, Non-Cash Compensation and Capital Acquisition Broker (CAB) Rules in Response to Regulation Best Interest

Release Number

34-88422

SEC Issue Date

March 19, 2020

Federal Register Publish Date

March 25, 2020

Document Citation

85 FR 16974

Resources

Notice Rule: SEC Issued Version (pdf 183.23 KB)

Notice Rule: Federal Register Version

View Received Comments

Last Reviewed or Updated: June 18, 2020

Resources

Notice Rule: SEC Issued Version (pdf 201.03 KB)

Notice Rule: Federal Register Version

Details

Public Comments Due

July 15, 2020

File Number

SR-FINRA-2020-007

Rule Type

Notice

Release Number

34-89091

SEC Issue Date

June 18, 2020

Federal Register Publish Date

June 24, 2020

Document Citation

85 FR 37970

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to FINRA's Suitability, Non-Cash Compensation and Capital Acquisition Broker (CAB) Rules in Response to Regulation Best Interest

Public Comments

Resources

Resources

Details

More in this Section

Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to FINRA's Suitability, Non-Cash Compensation and Capital Acquisition Broker (CAB) Rules in Response to Regulation Best Interest

Public Comments

Notice Rule (34-88422)

Resources

Resources

Details