Proposed Rule Change to Update Certain Cross-References and Make a Non-Substantive Technical Change to a FINRA Rule

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to update cross-references within certain FINRA rules to reflect changes adopted in the consolidated FINRA rulebook and to make a non-substantive technical change to a FINRA rule.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 79.5 KB
Notice of Filing and Immediate EffectivenessPDF - 61.65 KB