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Proposed Rule Change Relating to the Reporting Requirements of FINRA Rule 4530(a)(1)(H)

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 4530 (Reporting Requirements) to provide an exception from the requirements of paragraph (a)(1)(H) of the rule for dealings with a member or associated person subject to statutory disqualification, if that member or associated person has been approved (or is otherwise permitted pursuant to FINRA rules and the federal securities laws) to be a member or to be associated with a member.

Title Format - Size Status
Text of Proposed Rule Change PDF - 103.92 KB
Notice of Filing and Immediate Effectiveness PDF - 200.83 KB