Proposed Rule Change to Make Non-Substantive Technical Changes to FINRA Rule 4521

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to make certain non-substantive technical changes to FINRA Rule 4521(d).

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 63.67 KB
Notice of Filing and Immediate EffectivenessPDF - 62.75 KB