Proposed Rule Change Relating to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information)

FINRA filed with the SEC a proposed rule change to amend FINRA Rule 8313 ("Release of Disciplinary Complaints, Decisions and Other Information"), which governs the release of disciplinary and other information by FINRA to the public. Additionally, the proposed rule change would make conforming amendments to certain rules in the FINRA Rule 9000 Series ("Code of Procedure") and add a provision to FINRA Rule 9268 ("Decision of Hearing Panel or Extended Hearing Panel") regarding the effective date of sanctions.

Cross-Reference(s): FINRA Rule Series 8000 ("Investigations and Sanctions") and 9000 ("Code of Procedure").

See: Text of Proposed Rule Change.