Proposed Rule Change Relating to FINRA Rule 2232 (Customer Confirmations) to Require Members to Disclose Additional Pricing Information on Retail Customer Confirmations Relating to Transactions in Fixed Income Securities
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 2232 (Customer Confirmations) to require members to disclose additional pricing information on retail customer confirmations relating to transactions in fixed income securities.
Title | Format - Size | Status |
---|---|---|
Text of the Proposed Rule Change | PDF - 22.88 MB | |
Federal Register Notice | PDF - 236.52 KB | |
Notice of Designation of a Longer Period for Commission Action | PDF - 168.13 KB | |
Response to Comments | PDF - 969.37 KB | |
Amendment No. 1 to Proposed Rule Change | PDF - 86 KB | |
Approval Order | PDF - 275 KB |