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After considering an application, FINRA staff shall issue a written decision setting forth its findings and conclusions. The decision shall be served on the Applicant pursuant to Rules 9132 and 9134, except with respect to written decisions for exemptive relief under NASD Rule 1070 (Qualification Examinations and Waiver of Requirements), which shall be served on the Applicant electronically. After the decision is served on the Applicant, the application and decision may be publicly available.
Amended by SR-FINRA-2014-033 eff. Aug. 18, 2014.
Amended by SR-FINRA-2013-018 eff. Dec. 16, 2013.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Amended by SR-NASD-2004-100 eff. Sept. 1, 2004.
Amended by SR-NASD-97-28 eff. Aug. 7, 1997.
Selected Notices: 04-59, 08-57, 13-27.