SEC Requests Comments on Partial Amendment No. 1 to FINRA ...

Notice of Partial Amendment No. 1 to Proposed Rule Change To ...

On February 29, 2024, pursuant to Section 19(b)(2) of the Act, the Commission designated a longer period within which to approve the proposed ...

Amendment No. 1 to Proposed Rule Change - finra

The Proposal would codify that the Document Production Lists apply to simplified customer arbitrations in which the customer requests a regular hearing.

Financial Industry Regulatory Authority (FINRA) Rulemaking

... FINRA Rule 6500 Series (Securities Lending and ... Order Approving a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Amend FINRA ...

Order Approving a Proposed Rule Change, as Modified by Partial ...

The proposed rule change would amend FINRA Rule 12800(g)(1) to give customers in paper cases and special proceedings the option to elect whether ...

Amendment No. 1 to Proposed Rule Change - finra

8 This amendment will provide FINRA with additional time to assess members' trade reporting times in connection with manual trades and request comment on the ...

Order Approving a Proposed Rule Change, as Modified by Partial ...

... sec.gov/comments/sr-finra-2024- · 008/srfinra2024008-503775-1470022.pdf (“FINRA Response Letter”); see also Partial Amendment No. 1, https ...

SEC Requests Comments on Partial Amendment No. 1 to FINRA ...

In addition, the amendment clarifies that when multiple member firms participate in an offering, each member may make the required filing, or members may ...

Amendment No. 1 to Proposed Rule Change - finra

Countryman, Secretary, SEC, dated December 28, 2021 (“SIFMA); and Letter from Michael Grogan, V.P. & Head of US Fixed Income Trading – Investment. Grade, Dwayne ...

File No. SR-FINRA-2024-004) July 25, 2024 Self ... - SEC.gov

solicit comments on Partial Amendment No. 1 from interested persons.12. II. Self-Regulatory Organization's Statement of the Terms of ...

Federal Register/Vol. 89, No. 166/Tuesday, August 27, 2024/Notices

www.sec.gov/comments/sr-finra-2024-008/srfinra · 2024008.htm. 6 See ... amend FINRA Rule 12800(g)(1) to give customers in paper cases and ...

Federal Register/Vol. 89, No. 147/Wednesday, July 31, 2024/Notices

available at https://www.sec.gov/comments/sr-finra-. 2024-004 ... comments on Partial Amendment No. 1 from interested persons.12. II ...

File No. SR-FINRA-2024-004) September 20, 2024 Self-Regulatory ...

2024) (“Partial Amendment No. 1”). 9. Comments received are available at: https://www.sec.gov/comments/sr ...

SR-FINRA-2024-004 - Rule Filings

(“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6730 to reduce the 15-minute ...

Amendment No. 1 to Proposed Rule Change - finra

(“FINRA”) filed with the Securities and Exchange Commission (“SEC” or. “Commission”) a proposed rule change, SR-FINRA-2022-033, that would amend the. Code of ...

August 7, 2024 Ms. Vanessa Countryman Secretary U.S. ... - finra

See Securities Exchange Act Release No. 100204 (May 21 ... has determined to amend proposed Rule 12800(g)(1)(B) in Partial Amendment No.

July 17, 2024 Vanessa Countryman Secretary U.S. Securities ... - finra

The proposed rule change, as amended by. Partial Amendment No. 1 (“Amended Proposal”), would amend FINRA Rule 2210. (Communications with the ...

Notice of Partial Amendment No. 1 to Proposed Rule Change to ...

On July 28, 2022, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed with the Securities and Exchange Commission (“SEC” or “ ...

SR-FINRA-2023-016 - Rule Filings

Partial Amendment No. 1, PDF - 1.77 MB ; Response to Comments, PDF - 278.67 KB.

February 22, 2024 Vanessa Countryman Secretary U.S. Securities ...

The following discusses the Partial Amendment No. 1, as well as FINRA's responses, by topic, to the material points raised in the comments.

Notice of Filing of Partial Amendment No. 1 and Order Instituting ...

Comment letters are available at www.sec.gov. 5. See letter from Joseph P. Savage, FINRA, to Elizabeth Murphy, Secretary, SEC, dated.