Regulatory Notice 13-29
FINRA Requests Comment on a Revised Proposal Regarding the Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
FINRA seeks comment on a revised proposal to transfer the NASD Rule 1010 Series (Membership Proceedings), with substantive changes, into the Consolidated FINRA Rulebook as the FINRA Rule 1100 Series (Member Application). The revised proposal includes changes in response to comments on the prior proposal set forth in Regulatory Notice 10-01. The proposal also includes additional rule provisions to address regulatory issues identified by FINRA staff and codify existing membership-related interpretations and practices.
Questions concerning this Notice should be directed to:
- Joseph Sheirer, Director and Counsel II, Membership Application Program, at (212) 858-5132; or
- Patricia Albrecht, Associate General Counsel, Office of General Counsel, at (202) 728-8026.
|Date||Title||Format - Size|
|3/30/2015||Attachment to Regulatory Notice 13-29||PDF - 240.9 KB|