• FINRA Submits Rule Change to Accept Certain U4 Filings In Lieu Of Corresponding Rule 4530 Filings
  • January 10, 2013 | Author: Mark D. Knoll
  • Law Firm: Bressler, Amery & Ross A Professional Corporation - New York Office
  • In a filing dated December 27, 2012, FINRA submitted SR-FINRA-2012-057 to the Securities and Exchange Commission seeking to amend FINRA Rule 4530 to: (1) provide an exception from the rule for certain information disclosed on Form U4; (2) enable members to file required documents related to non-FINRA civil and criminal proceedings online through FINRA’s Firm Gateway; and (3) provide an exception from the reporting requirements of the rule for findings and actions by FINRA.