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Rules & Guidance

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Recently Approved Rule Changes Pending Determination of Effective Date
SR-FINRA-2022-013
  • 6730. Transaction Reporting
SR-FINRA-2022-011
  • 6710. Definitions
  • 6730. Transaction Reporting
  • 6750. Dissemination of Transaction Information
SR-FINRA-2021-024
  • IM-1013-1. Membership Waive-In Process for Certain New York Stock Exchange Member Organizations
  • IM-1013-2. Membership Waive-In Process for Certain NYSE American LLC Member Organizations
  • 2231. Customer Account Statements
SR-FINRA-2021-015
  • 1210. Registration Requirements
  • 1240. Continuing Education
SR-FINRA-2021-010
  • 4210. Margin Requirements
SR-FINRA-2019-008
  • 2232. Customer Confirmations
  • 6710. Definitions
  • 6760. Obligation To Provide Notice
SR-FINRA-2010-056
  • 1113. Restriction Pertaining to New Member Applications
  • 9521. Purpose and Definitions
  • 9522. Initiation of Eligibility Proceeding; Member Regulation Consideration; and Requirements for an Interim Plan of Heightened Supervision
  • 9523. Acceptance of Member Regulation Recommendations and Supervisory Plans by Consent Pursuant to SEA Rule 19h-1

           

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