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Friday, March 12, 2021
On March 10, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 21-09 announcing FINRA’s adoption of new rules to address brokers with a significant history of misconduct and the broker-dealers that employ them. FINRA adopted the following rules:
Amendments to the Rule 9200 Series (Disciplinary Proceedings) and the Rule 9300 Series (Review of Disciplinary Proceeding by National Adjudicatory Council and FINRA Board; Application for SEC Review) authorize Hearing Officers to impose conditions and restrictions on disciplined Respondents, and require member firms to adopt heightened supervision plans regarding associated persons who are disciplined Respondents.
Amendments to Rule 9556 (Failure to Comply with Temporary and Permanent Cease and Desist Orders, or Orders that Impose Conditions or Restrictions) grant FINRA staff the authority to bring an expedited proceeding against a Respondent that fails to comply wi ....

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