Regulatory Notice 08-34

SEC Approves Amendments to the Rule 9700 Series to Streamline Existing Procedural Rules Applicable to General Grievances Related to FINRA Automated Systems; Effective Date: August 1, 2008

Executive Summary

Effective August 1, 2008, reviews of FINRA staff determinations under the Rule 9700 Series (Procedures on Grievances Concerning the Automated Systems) will be adjudicated by a Hearing Officer appointed by FINRA’s Office of Hearing Officers, subject to discretionary review by the National Adjudicatory Council. The text of the amended rules is set forth in Attachment A of this Notice.

 

Questions regarding this Notice may be directed to FINRA Operations at (866) 776-0800; or the Office of General Counsel at (202) 728-8071.