Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Release Information on BrokerCheck® Relating to Firm Designation as a Restricted Firm
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 8312 (FINRA BrokerCheck Disclosure) to release information on BrokerCheck® as to whether a particular member firm or former member firm is currently designated as a “Restricted Firm” pursuant to Rule 4111 (Restricted Firm Obligations) and Rule 9561 (Procedures for Regulating Activities Under Rule 4111).
|Title||Format - Size||Status|
|Text of the Proposed Rule Change||PDF - 2.55 MB|
|Federal Register Notice||PDF - 410.04 KB|
|Extension No. 1||PDF - 1.78 MB||New|
|Response to Comments||PDF - 182.91 KB||New|
|Order Instituting Proceedings To Determine Whether To Approve or Disapprove||PDF - 200.45 KB||New|