Proposed Rule Change to Eliminate Duplicative Filings Under FINRA Rule 9610

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 9610(a) (Application) to delete the requirement that members provide a copy of an application for exemptive relief to FINRA’s Office of General Counsel (“OGC”).

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 65.28 KB
Notice of Filing and Immediate EffectivenessPDF - 189.36 KB