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Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to update the 2002 security futures risk disclosure statement (“2002 Statement” or “Statement”) that would incorporate prior supplements pertaining to Sections 5.2 (Settlement by Physical Delivery) and 8.1 (Corporate Events), make a technical change to Section 5.2 to reflect that the normal clearance and settlement cycle for securities transactions is now two business days, amend Section 6.1 (Protections for Securities Accounts) to reflect the current address for the Securities Investor Protection Corporation (“SIPC”), and make other non-substantive and technical changes. 

Title Format - Size Status
Text of the Proposed Rule Change PDF - 356.91 KB
Notice of Filing and Immediate Effectiveness PDF - 210.27 KB