Regulatory Notice 08-74
FINRA Provides Guidance on Amendments to FINRA Rules Relating to SEC Regulation M; Effective Date: December 15, 2008
FINRA is issuing this Notice to provide additional information and guidance on the new FINRA Rules governing notification requirements and marketplace-specific rules relating to Regulation M under the Securities Exchange Act of 1934.1 As announced in Regulatory Notice 08-57, the FINRA Rules become effective December 15, 2008.
The text of the amendments is set forth in Attachment A of this Notice. The forms firms must use to notify FINRA under the amendments are provided in Attachment B of this Notice and are available (along with any updates) online at www.finra.org/RegM.
1 17 CFR §242.100 to 105.
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