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SR-FINRA-2010-056

Proposed Rule Change to Adopt FINRA Rule 1113 (Restriction Pertaining to New Member Applications) and toAmend the FINRA Rule 9520 Series (Eligibility Proceedings)

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt new FINRA Rule 1113 (Restriction Pertaining to New Member Applications) and to amend the FINRA Rule 9520 Series (Eligibility Proceedings) to restrict new member applicants’ and certain members’ association with disqualified persons.

Title Format - Size Status
Text of Proposed Rule Change PDF - 94.51 KB
Federal Register Notice PDF - 65.91 KB
Extension No. 1 PDF - 27.2 KB
Response to Comments PDF - 517.99 KB
Approval Order PDF - 147.81 KB