SEC Requests Comments on Partial Amendment No. 1 to FINRA ...
Text of the Proposed Rule Change - finra
5 Due to the amendments, certain existing SEC-registered brokers or dealers will no longer qualify for ... Applying Due to Amended SEA Rule 15b9-1. Pursuant ...
Frequently Asked Questions on Form ADV and IARD - SEC.gov
A: No. A filing for succession by amendment is treated the same as any other amendment to an existing registration. In other words, because the existing ...
Text of the Proposed Rule Change - finra
from member firms, on August 9, 2021 FINRA filed Partial Amendment No. 1 to the. Proposal.10 The Amendment (1) extends the effective date of ...
Federal Register/Vol. 88, No. 48/Monday, March 13, 2023/Notices
SR–FINRA–2015–036). 5 See Partial Amendment No. 3 to SR–FINRA ... 19(b)(1) of the Securities Exchange Act of 1934 (''Act'') 1 and Rule ...
Notice of Filing of a Proposed Rule Change to Amend FINRA Rule ...
The margin requirements as set forth in Rule 4210 under FINRA Partial Amendment No. 1 will impede the operational efficiency of the TBA Market, ...
SR-FINRA-2008-005 Amendment No. 1
(“FINRA”) hereby responds to the comment letters received by the Securities and Exchange Commission (“SEC”) with respect to the above rule ...
Regulatory Notice 17-31 | FINRA.org
The amendments do not change the current filing requirements under FINRA Rules 2210 (Communications with the Public) or 2220 (Options ...
July 25, 2023 Ms. Vanessa Countryman Secretary U.S. Securities ...
Below, FINRA discusses the comments on the Initial Proposal, including those that led to the Partial Amendment. Conditions for Designation as a ...
August 10, 2023 Ms. Vanessa Countryman Secretary U.S. ... - finra
submitted a response to the comments and filed Partial Amendment No. ... propose amendments based on the comments received by the SEC.2. 1.
August 9, 2021 Vanessa Countryman Secretary U.S. Securities and ...
Accordingly, as discussed in Partial Amendment No. 1,. FINRA is proposing to change the effective date of the Proposal as follows: • The ...
Final Rule: Investment Adviser Marketing - SEC.gov
No one commented specifically on the proposed inclusion of this ... requested comment on whether we should consider FINRA's approach.705 ...
SR-FINRA-2022-024 - Text of the Proposed Rule Change
... 1.c., “When No Expungement Request is Filed in a. Simplified ... the comments and filed Partial Amendment No. 1.264 On December 28 ...
SR-FINRA-2021-007 - Text of the Proposed Rule Change
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”)1 and. Rule 19b-4 thereunder,2 notice is hereby given that on.
1 On September 6, 2017, FINRA filed Partial Amendment No. 1 to the ... 2 No comments were received to the Proposal. With this Partial ...
SR-FINRA-2021-008-Amendment_1.pdf
1. As discussed in FINRA's response to comments, this Partial Amendment No. 1 makes the following changes to the Proposal: (1) extends ...
File No. SR-FINRA-2013-025 - SEC.gov
Federal Register a notice and order to solicit comments on Partial Amendment No. 1 from interested persons and to institute proceedings ...
SR-FINRA-2020-030-Amendment2.pdf
... SEC published a notice and order in the Federal. Register to solicit comments on the Proposal as modified by Partial Amendment No. 1 and to ...
1. 15 U.S.C. 78s(b)(1). 2. See Securities Exchange Act Release No. 90635 (December 10, 2020), 85 FR. 81540 (December 16, 2020) (Order Approving ...
the proposed rule change, as modified by Partial Amendment No. 1. Institution of proceedings does not indicate that the Commission has reached ...
sr-finra-2020-041-amendment1.pdf
See Securities Exchange Act Release No. 90527 (November 27, 2020) ... With this Partial Amendment No. 1, FINRA is including Exhibit 4 ...