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))

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Date Received
Date Letter Type Commenter Name
Public Comment John Frattellone
Public Comment Philip Shaikun, Associate Vice President and Associate General Counsel, FINRA, Washington, District of Columbia
Public Comment David T. Bellaire, Esq., Executive Vice President & General Counsel, Financial Services Institute

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2013-033
Release Number
34-70131
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