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Proposed Rule Change to Amend FINRA Rule 9000 Series (Code of Procedure) to Reflect an Internal Reorganization of FINRA’s Enforcement Operations

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“Commission”) a proposed rule change to make technical and other non-substantive changes to FINRA Rule 9000 Series (Code of Procedure) (“the Code”) to reflect an internal reorganization of FINRA’s enforcement operations to create a single Department of Enforcement.

Title Format - Size Status
Text of the Proposed Rule Change PDF - 273.08 KB
Notice of Filing and Immediate Effectiveness PDF - 200.28 KB