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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