Proposed Rule Change to Amend the FINRA Rule 9520 Series Regarding Eligibility Procedures for Persons Subject to Certain Disqualifications

Financial Industry Regulatory Authority, Inc. (“FINRA”) (f/k/a National Association of Securities Dealers, Inc. (“NASD”)) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the FINRA Rule 9520 Series, which governs the eligibility procedures for persons subject to certain disqualifications, to comport with the amended definition of disqualification in the FINRA By-Laws. In addition, FINRA is filing a proposed Regulatory Notice that details the proposed related eligibility procedures.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 168.36 KB
Amendment No. 1 to Proposed Rule ChangePDF - 86.86 KB
Federal Register NoticePDF - 60.01 KB
Extension No. 1PDF - 19.42 KB
Approval OrderPDF - 54.85 KB