Sentences with phrase «finra rule amendments»
FINRA Requests Comment on FINRA Rule Amendments Relating to High - Risk Brokers and the Firms That Employ Them
http://www.finra.org/ Not exact matches
Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR - FINRA -2015-036
FINRA Board also filed with SEC proposed amendments to its TRACE rules to expand the definition of Agency Debt Security to address a new issuance structure by government - sponsored enterprises