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SR-FINRA-2020-027

Proposed Rule Change to Temporarily Amend FINRA Rules 1015, 9261, 9524 and 9830 to Permit OHO and NAC Hearings Under Those Rules to Be Conducted by Video Conference

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to temporarily amend FINRA Rules 1015, 9261, 9524 and 9830 to grant FINRA’s Office of Hearing Officers (“OHO”) and the National Adjudicatory Council (“NAC”) authority to conduct hearings in connection with appeals of Membership Application Program decisions, disciplinary actions, eligibility proceedings and temporary and permanent cease and desist orders by video conference, if warranted by the current COVID-19-related public health risks posed by an in-person hearing. The temporary amendments became operative on October 1, 2020, and are in effect through December 31, 2020, pending any future extensions.

Title Format - Size Status
Text of the Proposed Rule Change PDF - 166.59 KB
Notice of Filing and Immediate Effectiveness PDF - 269.03 KB
Response to Comments PDF - 97.29 KB