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Regolamentazione dei mercati · 09/10/20241 min di lettura
Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Supplementary Material.17 to IEX Rule 5.110 (Supervision), so That Any Location That Is the Private Residence of a Person Associated With a Member at Which Supervisory Activities Are Conducted, Which the Member Has Designated as a Residential Supervisory Location Pursuant to FINRA Rule 3110.19, Would Also Be Considered a Non-Branch Location Pursuant to IEX's Rules
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Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Supplementary Material .17 to IEX Rule 5.110 (Supervision), so That Any Location That Is the Private Residence of a Person Associated With a Member at Which Supervisory Activities Are Conducted, Which the Member Has Designated as a Residential Supervisory Location Pursuant to FINRA Rule 3110.19, Would Also Be Considered a Non-Branch Location Pursuant to IEX's Rules
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