SR-FINRA-2010-056

Proposed Rule Change to Adopt FINRA Rule 1113 (Restriction Pertaining to New Member Applications) and to Amend the FINRA Rule 9520 Series (Eligibility Proceedings)

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt new FINRA Rule 1113 (Restriction Pertaining to New Member Applications) and to amend the FINRA Rule 9520 Series (Eligibility Proceedings) to restrict new member applicants’ and certain members’ association with disqualified persons.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 94.51 KB
Federal Register NoticePDF - 65.91 KB
Extension No. 1PDF - 27.2 KB
Response to CommentsPDF - 517.99 KB
Approval OrderPDF - 147.81 KB