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
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:
|View Full Notice||PDF 160 KB|
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|