Reference: Ref-16961
| Reference Name: | 14 - SEC Rules 134, 134a, 135a, 144, 156, 419, 481 and 482, (17 C.F.R. §§230.134, 230.134a, 230.135a, 230.144, 230.156, 230.419, 230.481 and 230.482) (4-1-23) |
| Agency: | 69 Department of Financial Services 69W Securities |
| Modified Document(s): |
|
|||||
|---|---|---|---|---|---|---|
| Adopted Document(s): |
|
|||||
| Proposed Document(s): |
|
|||||
| Description: | SEC Rules 134, 134a, 135a, 144, 156, 419, 481 and 482, (17 C.F.R. §§230.134, 230.134a, 230.135a, 230.144, 230.156, 230.419, 230.481 and 230.482) (4-1-23) | |||||
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 |
|
|---|---|---|---|---|
|
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 |
|
|
|
General Industry Standards Incorporated by Reference | 28752466 |
Effective: 10/01/2024 |
|