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 Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

Submit a Comment on SR-FINRA-2014-045

Last Reviewed or Updated: Nov. 12, 2014

Resources

Notice Rule: SEC Issued Version (pdf 26 KB)

Notice Rule: Federal Register Version

Exhibit 5

Details

Public Comments Due

Dec. 9, 2014

File Number

SR-FINRA-2014-045

Rule Type

Notice

Release Number

34-73576

SEC Issue Date

Nov. 12, 2014

Federal Register Publish Date

Nov. 18, 2014

Document Citation

79 FR 68731

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules

Public Comments

Resources

Details

More in this Section

Breadcrumb

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules

Public Comments

Resources

Details