SEC Approves Amendments to FINRA Rules Regarding Temporary and Permanent Cease and Desist Orders (FINRA Reg. Notice 15-35)

The SEC approved amendments to FINRA Rule Series 9100 ("Application and Purpose"),9200 ("Disciplinary Proceedings"), 9300 ("Review of Disciplinary Proceeding by National Adjudicatory Council and FINRA Board; Application for SEC Review"), 9550 ("Expedited Proceedings") and 9800 ("Temporary Cease and Desist Orders") regarding temporary and permanent cease and desist orders.

The approved amendments will become effective on November 2, 2015.