SR-FINRA-2013-033

Proposed Rule Change to Amend FINRA Rule 9217 to Include Additional Rule Violations Eligible for Disposition Under FINRA’s Minor Rule Violation Plan.

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 9217 (Violations Appropriate for Disposition Under Plan Pursuant to SEA Rule 19d-1(c)(2)) to include additional rule violations eligible for disposition under FINRA's Minor Rule Violation Plan ("MRVP").

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 130.91 KB
Federal Register NoticePDF - 209.71 KB
Response to CommentsPDF - 91.06 KB
Approval OrderPDF - 185.83 KB