Order Rule

Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Supplementary Material .19 (Residential Supervisory Location) Under FINRA Rule 3110

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

Submit a Comment on SR-FINRA-2022-019

Title

Notice of Filing of a Proposed Rule Change To Adopt Supplementary Material .19 (Residential Supervisory Location) Under FINRA Rule 3110 (Supervision)

Release Number

34-95379

SEC Issue Date

July 27, 2022

Federal Register Publish Date

Aug. 2, 2022

Document Citation

87 FR 47248

Resources

Notice Rule: SEC Issued Version (pdf 325.56 KB)

Notice Rule: Federal Register Version

View Received Comments

Last Reviewed or Updated: June 27, 2023

Resources

Order Rule: SEC Issued Version (pdf 152.75 KB)

Order Rule: Federal Register Version

Details

Public Comments Due

November 25, 2022 Rebuttal comments due: December 9, 2022

File Number

SR-FINRA-2022-019

Rule Type

Order

Release Number

34-96191

SEC Issue Date

Oct. 31, 2022

Federal Register Publish Date

Nov. 4, 2022

Document Citation

87 FR 66767

Rules & Regulations

Enforcement & Litigation

Compliance

Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Supplementary Material .19 (Residential Supervisory Location) Under FINRA Rule 3110

Public Comments

Resources

Resources

Details

More in this Section

Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Supplementary Material .19 (Residential Supervisory Location) Under FINRA Rule 3110

Public Comments

Notice Rule (34-95379)

Resources

Resources

Details