FINRA Regulatory Notice 13-29: Request for Comments on Revised Proposed Rules Governing Membership Application Proceedings

FINRA requested comments on a revised proposal to transfer the NASD Rule 1010 Series ("Membership Proceedings") into the Consolidated FINRA Rulebook as the FINRA Rule 1100 Series ("Membership Application").The revised proposal includes changes in response to comments on its prior proposal set forth in FINRA Regulatory Notice 10-01. The proposal also includes additional provisions to address regulatory issues identified by FINRA staff and codify existing membership-related interpretations and practices.

See: FINRA Regulatory Notice 13-29; Text of Proposed Rule Change.