SR-FINRA-2010-038

Proposed Rule Change Relating to a Stated Interpretation of the Meaning, Administration, and Enforcement of FINRA Rule 11892 and Supplementary Material .01

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change that constitutes a stated interpretation with respect to the meaning, administration, and enforcement of FINRA Rule 11892 and Supplementary Material .01.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 57.95 KB
Notice of Filing and Immediate EffectivenessPDF - 59.08 KB