9561. Procedures for Regulating Activities Under Rule 4111

(a)  Notices Under Rule 4111
(1)  Notice of Requirements or Restrictions
FINRA's Department of Member Regulation ("Department") shall issue a notice of its determination under Rule 4111 that a firm is a Restricted Firm and the requirements, conditions or restrictions to which the Restricted Firm is subject (hereinafter, collectively referred to as the "Rule 4111 Requirements").
(2)  Service of Notice
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