Regulatory Notice 09-15

FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Limit and Market Order Protection; Comment Period Expired: April 24, 2009

Executive Summary

As part of the process of developing a new consolidated rulebook (the Consolidated FINRA Rulebook), FINRA is requesting comment on a proposal to adopt a new FINRA rule based on NASD IM-2110-2 and NASD Rule 2111. The proposed rule simplifies and clarifies these rules, as well as harmonizes the rules with NYSE Rule 92, where appropriate.

 

The text of the proposed rule is set forth in Attachment A.

 

Questions regarding this Notice should be directed to:

 

  • Stephanie Dumont, Senior Vice President and Director of Capital Markets Policy, Office of General Counsel, at (202) 728-8176; or
  • Racquel Russell, Assistant General Counsel, Office of General Counsel, at (202) 728-8363.
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The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments.


Comments By Date Received
Taurus Compliance Consulting, LLC (PDF 2051 KB) 4/22/2009
Financial Information Forum (PDF 73 KB) 4/27/2009
SIFMA (PDF 90 KB) 4/30/2009
Pink OTC Markets (PDF 156 KB) 6/12/2009
Jack Rubens (PDF 344 KB) 9/17/2009