NoticeC1-2021-16671
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 and Amendment No. 2, To Adopt FINRA Rule 4111 (Restricted Firm Obligations) and FINRA Rule 9561 (Procedures for Regulating Activities Under Rule 4111)
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
September 3, 2021
Issuing agencies
Securities and Exchange Commission
Full Text
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<title>Federal Register, Volume 86 Issue 169 (Friday, September 3, 2021)</title>
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[Federal Register Volume 86, Number 169 (Friday, September 3, 2021)]
[Notices]
[Page 49589]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: C1-2021-16671]
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SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-92525; File No. SR-FINRA-2020-041]
Self-Regulatory Organizations; Financial Industry Regulatory
Authority, Inc.; Order Approving a Proposed Rule Change, as Modified by
Amendment No. 1 and Amendment No. 2, To Adopt FINRA Rule 4111
(Restricted Firm Obligations) and FINRA Rule 9561 (Procedures for
Regulating Activities Under Rule 4111)
July 30, 2021.
Correction
In notice document 2021-16671 appearing on page 42925 in the issue
of August 5, 2021, make the following correction:
On page 42925, in the second column, the file number is corrected
to read as set forth above.
[FR Doc. C1-2021-16671 Filed 9-2-21; 8:45 am]
BILLING CODE 0099-10-D
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</html>Indexed from Federal Register on September 3, 2021.
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