Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Amend FINRA Rule Series 9100, 9200, 9300, 9550, and 9800 Regarding Temporary and Permanent Cease and Desist Orders

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Date Received
Date Letter Type Commenter Name
Public Comment Joseph C. Peiffer, President, Public Investors Arbitration Bar Association, Norman, Oklahoma

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2015-019
Release Number
34-75333
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