FINRA Notice 16-03


Implementation Date: December 14, 2015

The SEC approved an amendment to FINRA Rule 0150 to codify the application of FINRA Rule 2121 and its Supplementary Material .01 and .02, which govern mark-ups and commissions, to transactions in exempted securities that are government securities. The amendment became effective upon SEC approval. The amended rule text is available in the online FINRA Manual.

See the attached pdf, for the full text:

pdf FINRA_Notice_16-03.pdf