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lloydm

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lloydm

Re: janice shell post# 102367

Wednesday, 01/20/2016 9:50:44 PM

Wednesday, January 20, 2016 9:50:44 PM

Post# of 222175
Even FINRA changes required SEC approval first also.

New new rules coming into effect for OTC that is awaiting SEC approval.

----
Procedures of the Self-Regulatory Organization
At its meetings on July 11, 2013, and December 15, 2015, the FINRA Board of
Governors authorized the filing of the proposed rule change with the SEC. No other
action by FINRA is necessary for the filing of the proposed rule change.

http://www.finra.org/sites/default/files/rule_filing_file/SR-FINRA-2016-002.pdf

Nothing I state is intended to be a recommendation to buy or sell, opinion only. Readers are solely responsible for how they use the information.

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