Order Rule

Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend FINRA Rule 3240 (Borrowing From or Lending to Customers) to Strengthen the General Prohibition Against Borrowing and Lending Arrangements.

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

Submit a Comment on SR-FINRA-2024-001
View Received Comments

Title
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend FINRA Rule 3240 (Borrowing From or Lending to Customers) to Strengthen the General Prohibition Against Borrowing and Lending Arrangements.
Release Number
34-99988
SEC Issue Date

Resources

Order Rule: SEC Issued Version (pdf 197.9 KB)
View Received Comments

Title
Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 3240 (Borrowing From or Lending to Customers)
Release Number
34-99351
SEC Issue Date
Federal Register Publish Date

Resources

Notice Rule: SEC Issued Version (pdf 231.89 KB)

Last Reviewed or Updated: Sept. 17, 2024