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Proposed Rule Change to Clarify Rule 1011(p) (Specified Risk Event)

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 1011(p) (“specified risk event”), to correct an inadvertent drafting error and clarify the “final regulatory actions” that are included in the “specified risk event” definition for purposes of the Rule 1000 Series (Member Application and Associated Person Registration).  Rule 1011(p) was among the rules approved in File No. SR-FINRA-2020-011.

Title Format - Size Status
Text of the Proposed Rule Change PDF - 278.59 KB
Federal Register Notice PDF - 275.35 KB
Extension No. 1 PDF - 201.38 KB
Approval Order PDF - 281.25 KB New