SR-FINRA-2013-039
Proposed Rule Change to Clarify the Classification and Reporting of Certain Securities to FINRA
Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt an interpretation to clarify the classification and the reporting of certain securities to FINRA.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 74.28 KB | |
| Federal Register Notice | PDF - 202.78 KB | |
| Extension No. 1 | PDF - 22.77 KB | |
| Order Instituting Proceedings to Determine Whether to Disapprove | PDF - 202.25 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 93.07 KB | |
| Notice of Filing of Amendment No. 1 | PDF - 212.86 KB | |
| Notice of Designation of a Longer Period for Commission Action | PDF - 182.76 KB | |
| Approval Order | PDF - 201.83 KB |