Proposed Rule Change Relating to FINRA Rule 4530 (Reporting Requirements)

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 4530 (Reporting Requirements) to:  (1) provide an exception from the rule for information disclosed on the Form U4 (Uniform Application for Securities Industry Registration or Transfer); (2) enable members to file required documents with FINRA online; and (3) provide an exception from the rule for findings and actions by FINRA.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 198.56 KB
Notice of Filing and Immediate EffectivenessPDF - 208.18 KB