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FINRA Rule 4570 (Custodian of Books & Records) – Proposed Changes – Request for Comment

December 21, 2018

The SEC requests comment on FINRA’s proposal to amend FINRA Rule 4570 (Custodian of Books and Records) to: (1) provide a member that is filing a Form BDW (Uniform Request for Broker-Dealer Withdrawal) the option of designating another FINRA member as the custodian of its books and records on the form; (2) clarify the obligations of the designated custodian; and (3) require the designated custodian to consent to act in such a capacity. The comment period expires December 21, 2018. See the Federal Register notice.


December 21, 2018
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