Regulatory Notice 09-72
SEC Approval and Effective Dates for New Consolidated FINRA Rules
Effective Date (all rules except FINRA Rule 2330): February 15, 2010
Effective Date (FINRA Rule 2330): February 8, 2010
Following the consolidation of NASD and the member regulation, enforcement and arbitration functions of NYSE Regulation into FINRA, FINRA established a process to develop a new consolidated rulebook (Consolidated FINRA Rulebook), which FINRA has discussed in previous Information Notices. FINRA is proposing new consolidated rules in phases for approval by the SEC as part of the Consolidated FINRA Rulebook. In October and November, the SEC approved eight new consolidated FINRA rules. All of the new rules take effect on February 15, 2010 except for FINRA Rule 2330, which has an implementation date of February 8, 2010.
Questions regarding this Notice should be directed to:
|View Full Notice||PDF 99 KB|