Regulatory Notice 13-29

FINRA Requests Comment on a Revised Proposal Regarding the Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings

Comment Period Expired: November 4, 2013

Executive Summary

FINRA seeks comment on a revised proposal to transfer the NASD Rule 1010 Series (Membership Proceedings), with substantive changes, into the Consolidated FINRA Rulebook as the FINRA Rule 1100 Series (Member Application). The revised proposal includes changes in response to comments on the prior proposal set forth in Regulatory Notice 10-01. The proposal also includes additional rule provisions to address regulatory issues identified by FINRA staff and codify existing membership-related interpretations and practices.

 

The text of the proposed rules is set forth in Attachment A on our website at www.finra.org/notices/13-29.

 

Questions concerning this Notice should be directed to:

 

  • Joseph Sheirer, Director and Counsel II, Membership Application Program, at (212) 858-5132; or
  • Patricia Albrecht, Associate General Counsel, Office of General Counsel, at (202) 728-8026.
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The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments.


Comments By Date Received
W. Hardy Callcott (PDF 66 KB) 11/4/2013
Integrated Management Solutions (IMS) (PDF 109 KB) 11/4/2013
Financial Services Institute (PDF 145 KB) 11/4/2013
Carter Ledyard & Milburn LLP (PDF 91 KB) 11/4/2013