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Notice Rule

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Definition of Hearing Officer To Include Former FINRA Employees Who Previously Worked as Hearing Officers

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Last Reviewed or Updated: July 3, 2014

Resources

Notice Rule: SEC Issued Version (pdf 24.45 KB)

Notice Rule: Federal Register Version

Details

Public Comments Due

July 31, 2014

File Number

SR-FINRA-2014-031

Rule Type

Notice

Release Number

34-72543

SEC Issue Date

July 3, 2014

Federal Register Publish Date

July 10, 2014

Document Citation

79 FR 39440

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Definition of Hearing Officer To Include Former FINRA Employees Who Previously Worked as Hearing Officers

Resources

Details

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Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Definition of Hearing Officer To Include Former FINRA Employees Who Previously Worked as Hearing Officers

Resources

Details