Proposed Rule Change to Amend FINRA Rule 9313 to Conform to FINRA Rule 9136 Regarding the Authority of Counsel to the National Adjudicatory Council

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 9313 to conform to FINRA Rule 9136 regarding the authority of counsel to the National Adjudicatory Council.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 51.51 KB
Notice of Filing and Immediate EffectivenessPDF - 196.53 KB