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Notice Rule

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 13606 (Record of Proceedings) to Provide Customers Access to a Copy of the Official Record of an Expungement Hearing

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

Submit a Comment on SR-FINRA-2024-018

Last Reviewed or Updated: Dec. 3, 2024

Resources

Notice Rule: SEC Issued Version (pdf 110.57 KB)

Details

Public Comments Due

Dec. 5, 2024

File Number

SR-FINRA-2024-018

Rule Type

Notice

Release Number

34-101561

SEC Issue Date

Nov. 7, 2024

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 13606 (Record of Proceedings) to Provide Customers Access to a Copy of the Official Record of an Expungement Hearing

Public Comments

Resources

Details

More in this Section

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 13606 (Record of Proceedings) to Provide Customers Access to a Copy of the Official Record of an Expungement Hearing

Public Comments

Resources

Details