FINRA: Extending exemptions from reporting, record keeping proposed
Finra filed with the SEC a proposed rule change to amend Finra Rule 7470 to extend for four…
Finra filed with the SEC a proposed rule change to amend Finra Rule 7470 to extend for four years Finra’s ability to exempt certain members from the recording and reporting requirements of the Order Audit Trail System Rules for manual orders received by the member. Read the rule change here.
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