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SR-FINRA-2021-014

Proposed Rule Change Relating to Members’ Filing Requirements under FINRA Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11)

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 requirements under FINRA Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11). 

Title Format - Size Status
Text of the Proposed Rule Change PDF - 498.79 KB
Federal Register Notice PDF - 312.79 KB New