FINRA Files Proposed Consolidated Rules on Financial Responsibility with SEC | Practical Law
https://content.next.westlaw.com/practical-law/document/Ibb0a6386ef0511e28578f7ccc38dcbee/FINRA-Files-Proposed-Consolidated-Rules-on-Financial-Responsibility-with-SEC?viewType=FullText&transitionType=Default&contextData=(sc.Default)
An update on FINRA's proposed rule change to adopt a new set of consolidated rules governing financial responsibility of members.
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FINRA Files Proposed Consolidated Rules on Financial Responsibility with SEC
Practical Law Legal Update 4-384-7701
(Approx. 2 pages)
FINRA Files Proposed Consolidated Rules on Financial Responsibility with SEC
by PLC Corporate & Securities
Related Content
Published on 23 Jan 2009
•
USA (National/Federal)
An update on FINRA's proposed rule change to adopt a new set of consolidated rules governing financial responsibility of members.