SR-FINRA-2020-020
Proposed Rule Change to Adopt FINRA Rule 3241 (Registered Person Being Named a Customer’s Beneficiary or Holding a Position of Trust for a Customer)
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 3241 (Registered Person Being Named a Customer’s Beneficiary or Holding a Position of Trust for a Customer).
| Title | Format - Size | Status |
|---|---|---|
| Text of the Proposed Rule Change | PDF - 5.25 MB | |
| Federal Register Notice | PDF - 297.42 KB | |
| Extension No. 1 | PDF - 59.05 KB | |
| Response to Comments | PDF - 94.91 KB | |
| Approval Order | PDF - 124.91 KB |