Regulatory Notice 10-21
SEC Approval and Effective Date for New Consolidated FINRA Rules and the Repeal of Certain NASD and Incorporated NYSE Rules; Effective Date: June 14, 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 February and March 2010, the SEC approved six rule filings relating to the Consolidated FINRA Rulebook. The effective date for all of the proposed rule changes is June 14, 2010.
Questions regarding this Notice should be directed to:
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