Skip to main content
Welcome to the new Learn more about our updates.
Create your own user feedback survey

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.

Title Format - Size Status
Text of Proposed Rule Change PDF - 62.27 KB
Notice of Filing and Immediate Effectiveness PDF - 196.48 KB