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Notice Rule

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Private Placement Filer Form Under FINRA Rules 5122 and 5123

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

Submit a Comment on SR-FINRA-2021-002

Last Reviewed or Updated: Feb. 3, 2021

Resources

Notice Rule: SEC Issued Version (pdf 201.9 KB)

Notice Rule: Federal Register Version

Details

Public Comments Due

March 2, 2021

File Number

SR-FINRA-2021-002

Rule Type

Notice

Release Number

34-91047

SEC Issue Date

Feb. 3, 2021

Federal Register Publish Date

Feb. 9, 2021

Document Citation

86 FR 8819

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Private Placement Filer Form Under FINRA Rules 5122 and 5123

Public Comments

Resources

Details

More in this Section

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Private Placement Filer Form Under FINRA Rules 5122 and 5123

Public Comments

Resources

Details