Regulation & law · 13/11/2007
FINRA Approves Rule Change to Exempt Certain Locations from Office of Supervisory Jurisdiction Definition
The Financial Industry Regulatory Authority (FINRA) has approved a proposed rule change to exempt locations that solely conduct final approval of research reports from the definition of the Office of Supervisory Jurisdiction under NASD Rule 3010(g)(1).
Original source language: Federal Register — All DocumentsOpen original release →