Regulatory Notice 13-27

SEC Approves Amendments to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information)

 

Effective Date: December 16, 2013

Executive Summary

The Securities and Exchange Commission (SEC) approved amendments to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information), which governs the release of disciplinary and other information by FINRA to the public. The amendments establish general standards for the release of disciplinary information to the public to provide greater access, clarify the scope of information subject to FINRA Rule 8313 and eliminate provisions that do not address the release of information by FINRA to the public.

 

The text of the amended rules is available at www.finra.org/notices/13-27.

 

Questions concerning this Notice should be directed to Erika Lazar, Assistant General Counsel, Office of General Counsel, at (202) 728-8013.