Proposed Rule Change to Amend FINRA Rule 9120 (Definitions) to Add the Term "Chief Legal Officer" to the Definition of "General Counsel"

Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend FINRA Rule 9120 (Definitions) to add the term "Chief Legal Officer" to the definition of "General Counsel."

DateTitleFormat - SizeStatus
12/11/2012Text of Proposed Rule ChangePDF - 52.65 KB
12/27/2012Notice of Filing and Immediate EffectivenessPDF - 202.55 KB