Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 and Amendment No. 2, To Adopt FINRA Rule 4111 (Restricted Firm Obligations) and FINRA Rule 9561 (Procedures for Regulating Activities Under Rule 4111)
---
identifier: "/us/fr/C1-2021-16671"
source: "fr"
legal_status: "authoritative_unofficial"
title: "Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 and Amendment No. 2, To Adopt FINRA Rule 4111 (Restricted Firm Obligations) and FINRA Rule 9561 (Procedures for Regulating Activities Under Rule 4111)"
title_number: 0
title_name: "Federal Register"
section_number: "C1-2021-16671"
section_name: "Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 and Amendment No. 2, To Adopt FINRA Rule 4111 (Restricted Firm Obligations) and FINRA Rule 9561 (Procedures for Regulating Activities Under Rule 4111)"
positive_law: false
currency: "2021-09-03"
last_updated: "2021-09-03"
format_version: "1.1.0"
generator: "[email protected]"
agency: "Securities and Exchange Commission"
document_number: "C1-2021-16671"
document_type: "notice"
publication_date: "2021-09-03"
agencies:
- "Securities and Exchange Commission"
fr_citation: "86 FR 49589"
fr_volume: 86
docket_ids:
- "Release No. 34-92525"
- "File No. SR-FINRA-2020-041"
---
# Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 and Amendment No. 2, To Adopt FINRA Rule 4111 (Restricted Firm Obligations) and FINRA Rule 9561 (Procedures for Regulating Activities Under Rule 4111)
**Correction**
In notice document 2021-16671 appearing on page 42925 in the issue of August 5, 2021, make the following correction:
On page 42925, in the second column, the file number is corrected to read as set forth above.