Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision).
| Title | Format – Size | Status |
|---|---|---|
| Text of the Proposed Rule Change | PDF – 5.16 MB | |
| Federal Register Notice | PDF – 176.14 KB | |
| Extension No. 1 | PDF – 1.76 MB | |
| Amendment No. 1 to Proposed Rule Change | PDF – 2.17 MB | |
| Order Instituting Proceedings To Determine Whether To Approve or Disapprove | PDF – 208.95 KB | New |
This news item was originally published by the Financial Industry Regulatory Authority (FINRA US). For more information, see the Source Link.
