Regulatory Notice 11-50

SEC Approves Amendments to FINRA Rule 9251 to Explicitly Protect From Discovery Those Documents That Federal Law Prohibits FINRA From Disclosing

 

Effective Date: December 2, 2011

Executive Summary

The SEC recently approved an amendment to FINRA Rule 9251 (Inspection and Copying of Documents in Possession of Staff) that explicitly protects from discovery during FINRA proceedings those documents that federal law prohibits FINRA from disclosing. The amended rule text is set forth in Attachment A and is effective December 2, 2011.

 

Questions concerning this Notice should be directed to:

  • James S. Wrona, Vice President and Associate General Counsel, Office of General Counsel (OGC), at (202) 728-8270; or
  • Matthew E. Vitek, Counsel, OGC, at (202) 728-8156.