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SR-FINRA-2020-013

Proposed Rule Change to Add FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) to FINRA’s Minor Rule Violation Plan (“MRVP”)

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to add industry member compliance rules relating to the Consolidated Audit Trail (“CAT”) to FINRA’s Minor Rule Violation Plan (“MRVP”).

Title Format - Size Status
Text of the Proposed Rule Change PDF - 139.58 KB
Approval Order PDF - 115.42 KB New