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SEC Approves FINRA Rule for Fidelity Bonds

Posted on May 16, 2011

The SEC approved proposed FINRA Rule 4360 which updates fidelity bond requirements under NASD Rule 3020 and NYSE Rule 319. The new rule will become effective on January 1, 2012. FINRA Notice.

This entry was posted in Industry Developments and tagged fidelity bond, FINRA, FINRA Rule 4360, NASD, NASD Rule 3020, NYSE, NYSE Rule 319, Rule 3020, Rule 4360, SEC. Bookmark the permalink.

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