View Whole SectionText only Print Print Manager Link
Previous Next
  Versions
(2 versions)
 
Up to Aug 19 2009Aug 20 2009 onwards

Cancellation

Sec. 11.6  Each certificate representing capital stock surrendered to FINRA Regulation for exchange or transfer shall be canceled and no new certificate or certificates shall be issued in exchange for any existing certificate other than pursuant to Section 11.7 until such existing certificate shall have been canceled.
Amended by SR-FINRA-2009-020 eff. Aug. 20, 2009.
Amended by SR-NASD-97-71 eff. Jan. 15, 1998.

Selected Notice: 09-39.

Previous Next