Proposed Rule Change to Extend FINRA’s Authority Under the Cease and Desist Pilot Program

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend FINRA’s authority under its cease and desist pilot program, as further detailed herein, and to make certain technical amendments. The proposed rule change does not propose any substantive changes to the existing cease and desist authority pilot program.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 138.09 KB
Notice of Filing and Immediate EffectivenessPDF - 55.35 KB