Proposed Rule Change to Implement a New Electronic Form 211
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change relating to members’ filing obligations under FINRA Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11). The proposal implements a new electronic Form 211 in place of the current paper form.
|Title||Format - Size||Status|
|Text of the Proposed Rule Change||PDF - 1.7 MB|
|Notice of Filing and Immediate Effectiveness||PDF - 230.2 KB|