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Notice Rule

Notice to NFA Compliance Rule 2-9: Special Supervisory Requirements for Members Registered as Broker-Dealers Under Section 15(b)(11) of the Securities Exchange Act of 1934

Securities Futures Associations, National Futures Association

Public Comments

Submit a Comment on SR-NFA-2018-01

Last Reviewed or Updated: June 21, 2018

Resources

Notice Rule: SEC Issued Version (pdf 112.7 KB)

Notice Rule: Federal Register Version

Details

Public Comments Due

July 18, 2018

File Number

SR-NFA-2018-01

Rule Type

Notice

Release Number

34-83491

SEC Issue Date

June 21, 2018

Federal Register Publish Date

June 27, 2018

Document Citation

83 FR 30206

Rules & Regulations

Enforcement & Litigation

Compliance

Notice to NFA Compliance Rule 2-9: Special Supervisory Requirements for Members Registered as Broker-Dealers Under Section 15(b)(11) of the Securities Exchange Act of 1934

Public Comments

Resources

Details

More in this Section

Breadcrumb

Notice to NFA Compliance Rule 2-9: Special Supervisory Requirements for Members Registered as Broker-Dealers Under Section 15(b)(11) of the Securities Exchange Act of 1934

Public Comments

Resources

Details