Aggregated News From Investment Management Regulators

Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Release Information on BrokerCheck® Relating to Firm Designation as a Restricted Firm

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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 New

This news item was originally published by the Financial Industry Regulatory Authority (FINRA US). For more information, see the Source Link.

Regulator Information

Abbreviation: FINRA
Jurisdiction: United States

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