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Proposed Rule Change Relating to Serving Electronically Written Decisions on Members Seeking Exemptive Relief Under NASD Rule 1070

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 9620 (Decision) to permit FINRA staff to serve written decisions for members seeking exemptive relief under NASD Rule 1070 on members electronically.

Title Format - Size Status
Text of Proposed Rule Change PDF - 59.5 KB
Notice of Filing and Immediate Effectiveness PDF - 198.42 KB