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Re: no_ur_stox post# 9051

Friday, 05/14/2021 5:56:20 PM

Friday, May 14, 2021 5:56:20 PM

Post# of 20685
DUh.... FINRA approval is required for a number of different types of changes in firm organization, including certain mergers or acquisitions and material changes in business. Rule 1017 specifies when and what type of information needs to be submitted to the district to seek approval in advance of the organization change.
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