Proposed Rule Change Relating to FINRA Rule 4530 (Reporting Requirements [as to Bad Stuff])

FINRA has filed with the SEC a proposed rule change to amend FINRA Rule 4530(Reporting Requirements) to accomplish the following:

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.

See: Text of Proposed Rule Change (links externally to FINRA website).