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 | |
| Notification of Designation of Longer Period for Commission Action | PDF - 110.71 KB | |
| Response to Comments | PDF - 711.58 KB | |
| Approval Order | PDF - 363.02 KB |