During this webinar, FINRA will discuss the enhanced Form U5 filing process that will become available in FINRA Gateway on May 17, 2021.

Rule Filing Status:  Filed for Immediate Effectiveness

Rule change to extend the current pilot program related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) (“Clearly Erroneous Transaction Pilot” or “Pilot”) until October 20, 2021.