Reference: Ref-15091

Reference Name: 28- 17 C.F.R. 240.15c3-3 Exhibit A 4.1.21
Agency: 69 Department of Financial Services
69W Securities

Original Document(s):
12/29/2022 28- 17 C.F.R. 240.15c3-3 Exhibit A 4.1.21
Modified Document(s): No Modified document(s).
Description: 28- 17 C.F.R. 240.15c3-3 Exhibit A 4.1.21

Disclaimer: External links within the reference material are subject to change outside of the rulemaking process.

Rules/Notices using this Reference Material
Notice /
Adopted
Section Description ID Publish
Date
View Text Final
69W-200.002
General Industry Standards Incorporated by Reference 28116631 Effective:
03/21/2024
View Text Final
69W-200.002
General Industry Standards Incorporated by Reference 26765906 Effective:
02/14/2023