Proposed Rule Change Relating to Information Sharing Agreements with Domestic Federal Agencies, or Subdivisions Thereof, and Foreign Regulators

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 FINRA Rule 8210 to expressly permit FINRA to enter into information-sharing agreements with domestic federal agencies, or subdivisions thereof, and foreign regulators.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 131.67 KB
Notice of Filing and Immediate EffectivenessPDF - 56.44 KB