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SR-FINRA-2020-014

Proposed Rule Change to Amend FINRA Rule 9231 to Provide for the Compensation of All Panelists that Serve in Connection with a FINRA Disciplinary Hearing

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 provide for the compensation of all panelists that serve in connection with a FINRA disciplinary hearing, regardless of whether it is an Extended or non-Extended Hearing.

Title Format - Size Status
Text of the Proposed Rule Change PDF - 182.68 KB
Notice of Filing and Immediate Effectiveness PDF - 272.28 KB