Regulatory Notice 08-34
SEC Approves Amendments to the Rule 9700 Series to Streamline Existing Procedural Rules Applicable to General Grievances Related to FINRA Automated Systems
Effective August 1, 2008, reviews of FINRA staff determinations under the Rule 9700 Series (Procedures on Grievances Concerning the Automated Systems) will be adjudicated by a Hearing Officer appointed by FINRA’s Office of Hearing Officers, subject to discretionary review by the National Adjudicatory Council. The text of the amended rules is set forth in Attachment A of this Notice.
Questions regarding this Notice may be directed to FINRA Operations at (866) 776-0800; or the Office of General Counsel at (202) 728-8071.