SEC Approves Amendments to FINRA Rule 8313

The SEC approved amendments to FINRA Rule 8313 ("Release of Disciplinary Complaints, Decisions and Other Information"). The rules govern the release of disciplinary and other information by FINRA to the public. The amendments establish general standards for the release of disciplinary information to the public to provide greater access, clarify the scope of information subject to FINRA Rule 8313, and eliminate provisions that do not address the release of information by FINRA to the public.

See: FINRA Regulatory Notice 13-27; FINRA Press Release.See also: SIFMA Submits Supplemental Comments on FINRA Rule 8313 (August 1, 2013).