Proposed Rule Change to Allow for Video Conference Hearings Before the Office of Hearing Officers and the National Adjudicatory Council Under Specified Conditions
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 1015, 9261, 9341, 9524 and 9830 and Funding Portal Rule 900 to allow for video conference hearings before the Office of Hearing Officers (“OHO”) and the National Adjudicatory Council (“NAC”) under specified conditions.
|Title||Format - Size||Status|
|Text of the Proposed Rule Change||PDF - 1.99 MB|
|Federal Register Notice||PDF - 145.91 KB|
|Extension No. 1||PDF - 1.84 MB||New|