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

Original Document(s):
8/15/2024 SEC Rules 134, 134a, 135a, 144, 156, 419, 481 and 482, (17 C.F.R. §§230.134, 230.134a, 230.135a, 230.144, ...
Modified Document(s): No Modified 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
Section Description ID Publish
Date
View Text Proposed
69W-200.002
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
View Text Final
69W-200.002
General Industry Standards Incorporated by Reference 28752466 Effective:
10/01/2024