Aggregated News From Investment Management Regulators

SR-FINRA-2021-014 | Proposed Rule Change Relating to Members’ Filing Requirements under FINRA Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11)

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Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change relating to members’ filing requirements under FINRA Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11).

Title Format – Size Status
Text of the Proposed Rule Change PDF – 498.79 KB
Federal Register Notice PDF – 312.79 KB
Notification of Designation of Longer Period for Commission Action PDF – 110.71 KB
Response to Comments PDF – 711.58 KB
Approval Order PDF – 363.02 KB New

This news item was originally published by the Financial Industry Regulatory Authority (FINRA US). For more information, see the Source Link.

Regulator Information

Abbreviation: FINRA
Jurisdiction: United States

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