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Notice Rule

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend Temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Years 2020, 2021, 2022, and 2023) under FINRA Rule 3110 (Supervision) to inclu

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

Submit a Comment on SR-FINRA-2023-012

Last Reviewed or Updated: Nov. 1, 2023

Resources

Notice Rule: SEC Issued Version (pdf 213.23 KB)

Details

Public Comments Due

Oct. 24, 2023

File Number

SR-FINRA-2023-012

Rule Type

Notice

Release Number

34-98560

SEC Issue Date

Sept. 27, 2023

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend Temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Years 2020, 2021, 2022, and 2023) under FINRA Rule 3110 (Supervision) to inclu

Public Comments

Resources

Details

More in this Section

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend Temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Years 2020, 2021, 2022, and 2023) under FINRA Rule 3110 (Supervision) to inclu

Public Comments

Resources

Details