Skip to main content

For updates and guidance related to COVID-19 / Coronavirus, click here.


Proposed Rule Change Relating to the Composition of Hearing Panels and Extended Hearing Panels in Disciplinary Proceedings

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 9231 to add a category of persons eligible to be a Panelist on a Hearing Panel or an Extended Hearing Panel constituted to conduct disciplinary proceedings. In addition, the proposed rule change would make a conforming amendment to FINRA Rule 9232, which comprises criteria for the appointment of a Panelist to a Hearing Panel or an Extended Hearing Panel.

Title Format - Size Status
Text of Proposed Rule Change PDF - 116.02 KB
Federal Register Notice PDF - 207.11 KB
Approval Order PDF - 174.33 KB