Rule Conversion Charts

To facilitate the transition to the consolidated rulebook, FINRA has created three conversion charts that map NASD and incorporated NYSE rules to new FINRA rules and vice versa. FINRA updates these charts as the effective dates of rules for the consolidated FINRA rulebook are announced.

 

Important Note: These conversion charts are intended as a reference aid only—member firms are responsible for carefully consulting the relevant new rule language.

 

Download the NASD to FINRA Conversion Chart Spreadsheet (Excel 524 KB)

 

Download the NYSE to FINRA Conversion Chart Spreadsheet (Excel 130 KB)

 

Download the FINRA to NASD and NYSE Conversion Chart Spreadsheet (Excel 693 KB)

Last Updated: 6/5/2014