Proposed Rule Change to Repeal Incorporated NYSE Rule 405(4) Common Sales Accounts
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to repeal Incorporated NYSE Rule 405(4) (Common Sales Accounts) as part of the process of developing a consolidated FINRA rulebook.
Title | Format - Size | Status |
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Text of Proposed Rule Change | PDF - 75.43 KB | |
Federal Register Notice | PDF - 58.81 KB | |
Approval Order | PDF - 51.46 KB |