Proposed Rule Change to Amend the Definition of Hearing Officer to Include Former FINRA Employees Who Previously Worked as Hearing Officers

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 9120 (Definitions) and the definition of "Hearing Officer" to include former employees of FINRA who previously worked as FINRA hearing officers.

DateTitleFormat - SizeStatus
7/2/2014Text of Proposed Rule ChangePDF - 62.27 KB
7/10/2014Notice of Filing and Immediate EffectivenessPDF - 196.48 KB