Reference: Ref-16479
| Reference Name: | SEC Rule 415 (17 C.F.R. 230.415) 4-1-22 |
| Agency: | 69 Department of Financial Services 69W Securities |
| Original Document(s): |
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| Modified Document(s): | No Modified document(s). | |||||
| Description: | SEC Rule 415 (17 C.F.R. 230.415) 4-1-22 | |||||
Disclaimer: External links within the reference material are subject to change outside of the rulemaking process.
Rules/Notices using this Reference Material| Notice / Adopted |
Description | ID | Publish Date |
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|---|---|---|---|---|
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The purpose and effect is to amend the existing rule to incorporate by reference the current versions of general industry standards, including FINRA Rule 3110 as amended by SR-FINRA-2024-015 eff. November 26, 2024. | 29726249 |
6/30/2025 Vol. 51/126 |
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General Industry Standards Incorporated by Reference | 28752466 |
Effective: 10/01/2024 |
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General Industry Standards Incorporated by Reference | 28116631 |
Effective: 03/21/2024 |
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