In accordance with Rule 5110(b)(7)(C)(i) of the Financial Institution Regulatory Authority (the “FINRA”), the Securities have been registered with the Commission on Form S-3 under the 1933 Act pursuant to the standards for such Form S-3 in effect prior to October 21, 1992. Sample ...
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change Relating to Amendments to FINRA Rule 5110 (Corporate Financing Rule--Underwriting Terms and Arrangements) As Amended 来自 thefederalregister.com 喜欢 0 阅读量: 29 ...