SR-FINRA-2020-039
Rule Filing Status: Filed for Immediate Effectiveness
Rule change to amend FINRA rules to reflect name changes to two FINRA departments: the Office of Dispute Resolution and the Department of Registration and Disclosure.
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Rule Filing Status: Filed for Immediate Effectiveness
Rule change to amend FINRA rules to reflect name changes to two FINRA departments: the Office of Dispute Resolution and the Department of Registration and Disclosure.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA rules to reflect name changes to two FINRA departments: (1) the Office of Dispute Resolution and (2) the Department of Registration and Disclosure.