SR-FINRA-2022-015
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 | |
| Response to Comments | PDF - 182.91 KB | |
| Order Instituting Proceedings To Determine Whether To Approve or Disapprove | PDF - 200.45 KB | |
| Response to Comments No. 2 | PDF - 167.19 KB | |
| Extension No. 2 | PDF - 1.79 MB | |
| Approval Order | PDF - 662.21 KB |