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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