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FINRA Files Proposed Consolidated Rules on Financial Responsibility with SEC
Practical Law Legal Update 4-384-7701 (Approx. 2 pages)
FINRA Files Proposed Consolidated Rules on Financial Responsibility with SEC
by PLC Corporate & Securities
| Published on 23 Jan 2009 • USA (National/Federal) |
An update on FINRA's proposed rule change to adopt a new set of consolidated rules governing financial responsibility of members.