Skip to search field Skip to main content

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS
A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

Notice Rule

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities)

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

Submit a Comment on SR-FINRA-2022-028

Last Reviewed or Updated: Oct. 6, 2022

Resources

Notice Rule: SEC Issued Version (pdf 315.14 KB)

Notice Rule: Federal Register Version

Details

Public Comments Due

Nov. 3, 2022

File Number

SR-FINRA-2022-028

Rule Type

Notice

Release Number

34-95990

SEC Issue Date

Oct. 6, 2022

Federal Register Publish Date

Oct. 13, 2022

Document Citation

87 FR 62137

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities)

Public Comments

Resources

Details

More in this Section

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities)

Public Comments

Resources

Details