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Notice Rule

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Short-Form Membership Application Process and Partial Fee Waiver for Certain Firms Applying Due to Amended Exchange Act Rule 15b9-1

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

Submit a Comment on SR-FINRA-2023-014

Last Reviewed or Updated: Nov. 3, 2023

Resources

Notice Rule: SEC Issued Version (pdf 135.91 KB)

Exhibit 3

Exhibit 5

Details

File Number

SR-FINRA-2023-014

Rule Type

Notice

Release Number

34-98850

SEC Issue Date

Nov. 3, 2023

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Short-Form Membership Application Process and Partial Fee Waiver for Certain Firms Applying Due to Amended Exchange Act Rule 15b9-1

Public Comments

Resources

Details

More in this Section

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Short-Form Membership Application Process and Partial Fee Waiver for Certain Firms Applying Due to Amended Exchange Act Rule 15b9-1

Public Comments

Resources

Details