Regulatory Notice 18-42
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
FINRA is updating the imbedded text of Securities Exchange Act (SEA) financial responsibility and reporting rules in the Interpretations of Financial and Operational Rules to reflect the effectiveness of certain amendments the Securities and Exchange Commission (SEC) adopted. The updated imbedded text relates to SEA Rules 15c3-1g and 17a-5.
Questions concerning this Notice should be directed to:
|Date||Title||Format - Size|
|12/18/2018||Updated Pages||PDF - 45.98 KB|