Executive Summary
Effective August 1, 2008, reviews of FINRA staff determinations under the Rule 9700 Series (Procedures on Grievances Concerning the Automated Systems) will be adjudicated by a Hearing Officer appointed by FINRA’s Office of Hearing Officers, subject to discretionary review by the National Adjudicatory Council. The text of the amended rules is set forth in Attachment A of this Notice.
Questions regarding this Notice may be directed to FINRA Operations at (866) 776-0800; or the Office of General Counsel at (202) 728-8071.
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