SEC Release No. 34-67157 (June 7, 2012) (Notice of Filing of Amendments No. 2 and No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendments No. 1, No. 2, and No. 3 to Adopt FINRA Rule 5123. . .
Author(s): N. Adele Hogan Practice Area: Corporate & Securities Published: Apr 2013 PLI Item #: 42013