Regulation & law · 29/09/2021
FINRA Requests Approval for Plan to Allocate Regulatory Responsibilities
The Financial Industry Regulatory Authority (FINRA) has filed a notice with the SEC, requesting approval for a plan to allocate regulatory responsibilities among itself, The Nasdaq Stock Market LLC, and Nasdaq BX, Inc. The plan has been amended and is now effective.
Original source language: Federal Register — All DocumentsOpen original release →