Regulatory Notice 07-35

Extension of Temporary Relief from NYSE Rule 409(f) (Statements of Accounts to Customers) to January 1, 2008

Executive Summary

On March 20, 2007, NYSE granted temporary relief, until September 30, 2007, From the application of NYSE Rule 409(f) regarding the disclosure of the name of the securities market on which a transaction was effected.1 FINRA is hereby extending such relief to January 1, 2008.2

Questions regarding this Notice may be directed to your Finance Coordinator, or the FINRA Office of General Counsel, at (202) 728-8071.

1 See NYSE Information Memorandum 07-28 (March 20, 2007).

2 See also NYSE Information Memorandum 07-84 (August 2, 2007).

 

This Notice was updated on 12/13/07 to reflect non-substantive changes.