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Proposed Rule Change to Amend Certain FINRA Rules to Permit, and in Some Instances Require, Electronic Service and Filing of Documents in Disciplinary and other Proceedings and Appeals

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 1012, 1015, 6490, 9132, 9133, 9135, 9146, 9321, 9341, 9349, 9351, 9522, 9524, 9525, 9559 and 9630 to permit, and in some instances require, electronic service and filing of documents in disciplinary and other proceedings and appeals.

Title Format - Size Status
Text of the Proposed Rule Change PDF - 2.22 MB
Federal Register Notice PDF - 440.07 KB
Extension No. 1 PDF - 2.07 MB New
Approval Order PDF - 288.54 KB