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Petition Rule

Rulemaking petition to amend FINRA rule 9554 to preclude a respondent from raising the "inability to pay" defense against an industry claimant

Last Reviewed or Updated: Nov. 16, 2021

Resources

Petition Rule: SEC Issued Version (pdf 215.9 KB)

Details

File Number

4-780

Rule Type

Petition

Release Number

4-780

AAER-3778

SEC Issue Date

Nov. 16, 2021

Rules & Regulations

Enforcement & Litigation

Compliance

Rulemaking petition to amend FINRA rule 9554 to preclude a respondent from raising the "inability to pay" defense against an industry claimant

Resources

Details

More in this Section

Rulemaking petition to amend FINRA rule 9554 to preclude a respondent from raising the "inability to pay" defense against an industry claimant

Resources

Details