FINRA Proposes Extending Expiration Date of Refund Program to Address Underreported Form U4 Information

FINRA filed an immediately effective proposal with the SEC to amend FINRA Rule 3110.15 ("Temporary Program to Address Underreported Form U4 Information") to extend the expiration date of the refund program under that rule.

The program was originally set to expire in July 31, 2015. FINRA is proposing the extension of the program until December 1, 2015.

See: FINRA Rule Proposal: SR-FINRA-2015-005.See also: FINRA Rule Calendar (available to Cabinet subscribers only).