FINRA Announces Departure of Enforcement Deputy Head Christopher Kelly

WASHINGTON— FINRA announced today that after nine years in the Department of Enforcement, Christopher Kelly plans to leave FINRA on Nov. 1 to pursue other opportunities. In his most recent role of Senior Vice President and Deputy Head of Enforcement, Kelly oversaw the work of FINRA’s Enforcement attorneys throughout the country as well as Enforcement’s Litigation Group.

SR-FINRA-2023-014

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to adopt (1) FINRA IM-1013-3 and (2) FINRA Interpretive Material Section 4(e) of Schedule A to the FINRA By-Laws (“IM-Section 4(e)”) to establish a short-form membership application process for firms that must become FINRA members due to the amendments to Exchange Act Rule 15b9-1 and partial waiver of the new membership application fee to those firms that are eligible to apply for FINRA membership pursuant to this short-form membership application process.

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