SR-FINRA-2018-039

Proposed Rule Change Relating to FINRA Rule 4570 (Custodian of Books and Records)

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 4570 (Custodian of Books and Records) to: (1) provide a member that is filing a Form BDW (Uniform Request for Broker-Dealer Withdrawal) the option of designating another FINRA member as the custodian of its books and records on the form; (2) clarify the obligations of the designated custodian; and (3) require the designated custodian to consent to act in such a capacity.

TitleFormat - SizeStatus
Text of the Proposed Rule ChangePDF - 270.78 KB
Federal Register Notice PDF - 200.75 KB
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