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.