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Notice Rule

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Form U4 and FINRA Rule 3110.19(d) (Obligation to Provide List of RSLs to FINRA) for New RSL Question

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

Submit a Comment on SR-FINRA-2024-015

Last Reviewed or Updated: Oct. 4, 2024

Resources

Notice Rule: SEC Issued Version (pdf 157.59 KB)

Exhibit 3a

Exhibit 3b

Details

Public Comments Due

Oct. 15, 2024

File Number

SR-FINRA-2024-015

Rule Type

Notice

Release Number

34-101052

SEC Issue Date

Sept. 17, 2024

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Form U4 and FINRA Rule 3110.19(d) (Obligation to Provide List of RSLs to FINRA) for New RSL Question

Public Comments

Resources

Details

More in this Section

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Form U4 and FINRA Rule 3110.19(d) (Obligation to Provide List of RSLs to FINRA) for New RSL Question

Public Comments

Resources

Details