Proposed Rule Change Relating to FINRA Rule 4530 (Reporting Requirements)
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 4530 (Reporting Requirements) to: (1) provide an exception from the rule for information disclosed on the Form U4 (Uniform Application for Securities Industry Registration or Transfer); (2) enable members to file required documents with FINRA online; and (3) provide an exception from the rule for findings and actions by FINRA.
Title | Format - Size | Status |
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Text of Proposed Rule Change | PDF - 198.56 KB | |
Notice of Filing and Immediate Effectiveness | PDF - 208.18 KB |