Proposed Rule Change Relating to Information Sharing Agreements with Domestic Federal Agencies, or Subdivisions Thereof, and Foreign Regulators
Financial Industry Regulatory Authority, Inc. (“FINRA”) (f/k/a National Association of Securities Dealers, Inc. (“NASD”)) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 8210 to expressly permit FINRA to enter into information-sharing agreements with domestic federal agencies, or subdivisions thereof, and foreign regulators.
Title | Format - Size | Status |
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Text of Proposed Rule Change | PDF - 131.67 KB | |
Notice of Filing and Immediate Effectiveness | PDF - 56.44 KB |