FINRA Board of Governors
Rulemaking Items for Discussion at the February 2014 Meeting
The FINRA Board of Governors will consider the following rulemaking items at its February 2014 meeting. After the February 13 meeting, FINRA will notify firms via email about the Board's actions on these items and anticipated next steps, if any.
BrokerCheck Link in Online Retail Communications With the Public
The Board will consider a revised proposal to amend FINRA Rule 2210 (Communications With the Public) to require firms to provide a link to BrokerCheck on their websites and specified online retail communications.
Definitions of Public and Non-Public Arbitrators
The Board will consider amendments to the Customer and Industry Codes of Arbitration Procedure to refine and reorganize the definitions of "non-public" and "public" arbitrators.
Expungement of Customer Dispute Information
The Board will consider a proposed new rule to prohibit firms and associated persons from conditioning settlements of customer disputes on, or otherwise compensating customers for, an agreement not to oppose a request to expunge customer dispute information from FINRA's Central Registration Depository (CRD®) system.
Temporary Cease and Desist Orders, Expedited Proceedings
The Board will consider proposed rule amendments to FINRA Rule Series 9800 (Temporary Cease and Desist Orders), Rule Series 9550 (Expedited Proceedings) and related rules in the Code of Procedure.