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SEC · Notice · Rel 100 (Federal Register (major agencies))

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rules 0150 (Application of Rules to Exempted Securities Except Municipal Securities), 2165 (Financial Exploitation of Specified Adults) and 4512 (Customer Account Information) and To Adopt FINRA Rule 2166 (Temporary Delays for Suspected Fraud)

Other · Finance / banking · general, sec-enforcement

Analyst note

SEC published an official item relevant to other. Use the source link to verify scope before advising clients.

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