Tag Archives: FINRA Rule 8311

Effective Date of amended FINRA Rule 8311

FINRA Notice to Member 15-07 noted that the amendments to FINRA Rule 8311 would be effective August 24, 2015. In general, the amendments to FINRA Rule 8311 eliminate duplicative provisions … Continue reading Effective Date of amended FINRA Rule 8311 →

Amendment to FINRA Rule 8311 Approved

March 20, 2015Legal AlertsFINRA, FINRA Rule 8311, SECMichael Schaps

FINRA Notice to Member 15-07 noted that the amendments to FINRA Rule 8311 will be effective August 24, 2015. In general, while the amendments to FINRA Rule 8311 eliminate duplicative … Continue reading Amendment to FINRA Rule 8311 Approved →