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Notice Rule

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Permit Firms To File a Form U4 Based on an Electronically Signed Copy of the Form

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

Submit a Comment on SR-FINRA-2021-003

Last Reviewed or Updated: March 5, 2021

Resources

Notice Rule: SEC Issued Version (pdf 193.79 KB)

Notice Rule: Federal Register Version

Details

Public Comments Due

April 1, 2021

File Number

SR-FINRA-2021-003

Rule Type

Notice

Release Number

34-91262

SEC Issue Date

March 5, 2021

Federal Register Publish Date

March 11, 2021

Document Citation

86 FR 13935

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Permit Firms To File a Form U4 Based on an Electronically Signed Copy of the Form

Public Comments

Resources

Details

More in this Section

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Permit Firms To File a Form U4 Based on an Electronically Signed Copy of the Form

Public Comments

Resources

Details