Proposed Rule Change to Adopt FINRA’s Temporary and Permanent Cease and Desist Authority Pilot Program on a Permanent Basis

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt the temporary and permanent cease and desist authority pilot program on a permanent basis without any substantive changes to the terms of the existing program.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 119.89 KB
Federal Register NoticePDF - 55.47 KB
Extension No. 1PDF - 23.49 KB
Approval OrderPDF - 57.27 KB