- This event has passed.
Effective Date: Amendments to FINRA Rule 2340 Regarding DPP and Unlisted REIT Securities
April 11, 2016
The SEC amendments to NASD Rule 2340 (Customer Account
Statements) become effective on April 11, 2016. The amendments modify the requirements relating to the inclusion of per share estimated values for direct participation program (DPP) and unlisted real estate investment trust (REIT) securities on account statements, and to FINRA Rule 2310 (Direct Participation Programs) to make corresponding changes to the requirements applicable to members’ participation in public offerings of DPP or REIT securities.
The amended rule text is available at www.finra.org/notices/15-02.