Comments on FINRA Rulemaking

Notice of Filing of Proposed Rule Change to adopt FINRA Rule 1113 (Restriction Pertaining to New Member Applications) and to Amend FINRA Rule 9520 Series (Eligibility Proceedings)

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Date Received
Date Letter Type Commenter Name
Public Comment FINRA's Statement in Support of Proposed Rule Change to Adopt FINRA Rule 1113 and to Amend the FINRA Rule 9520 Series
Public Comment Patricia Albrecht, Financial Industry Regulatory Authority, Washington, District of Columbia
Public Comment Manuel P. Asensio-Garcia
Public Comment The Board of Directors of ASG Securities, Inc. and Michael Scillia, Chairman, for the Firm

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2010-056
Release Number
34-63316
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