SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission

  About the SEC

  Filings & Forms

  Regulatory Actions

  Staff Interps

  Investor Info

  News & Statements



  Information for...


Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 9217 (Violations Appropriate for Disposition Under Plan Pursuant to SEC Rule 19d-1(c)(2))

(Release No. 34-70131; File No. SR-FINRA-2013-033)

Sep. 17, 2013 John Frattellone
Sep. 17, 2013 Philip Shaikun, Associate Vice President and Associate General Counsel, FINRA, Washington, District of Columbia
Sep. 3, 2013 David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute






Modified: 09/23/2013