Reference: Ref-11292
Reference Name: | SEC Rules 15c2-1, 15c2-4, 15c2-5, 15c2-7, 15c2-8, 15c2-11, and 15c2-12 (17 C.F.R. §§240.15c2-1, 240.15c2-4, 240.15c2-5, 240.15c2-7, 240.15c2-8, 240.15c2-11, and 240.15c2-12) (4-1-18 edition) |
Agency: | 69 Department of Financial Services 69W Securities |
Original Document(s): |
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Modified Document(s): | No Modified document(s). | |||||
Description: | SEC Rules 15c2-1, 15c2-4, 15c2-5, 15c2-7, 15c2-8, 15c2-11, and 15c2-12 (17 C.F.R. §§240.15c2-1, 240.15c2-4, 240.15c2-5, 240.15c2-7, 240.15c2-8, 240.15c2-11, and 240.15c2-12) (4-1-18 edition) |
Disclaimer: External links within the reference material are subject to change outside of the rulemaking process.
Rules/Notices using this Reference MaterialNotice / Adopted |
Description | ID | Publish Date |
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General Industry Standards Incorporated by Reference | 22601987 |
Effective: 11/26/2019 |