Regulatory Notice 14-10

SEC Approves New Supervision Rules

Effective Date: December 1, 2014

 

Executive Summary

The SEC approved FINRA’s new consolidated rules governing supervision. The new Rules 3110, 3120, 3150 and 3170 replace NASD Rules 3010, 3012 and 3110(i) and other corresponding NYSE rule provisions. The new rules become effective on December 1, 2014.

 

The text of the new rules is available at www.finra.org/notices/14-10.

 

Questions concerning this Notice should be directed to:

  • Brant Brown, Associate General Counsel, Office of General Counsel (OGC), at (202) 728-6927; or
  • Kosha Dalal, Associate Vice President and Associate General Counsel, OGC, at (202) 728- 6903.

 

4/3/14: The effective date for the deletion of Incorporated NYSE Rules 343 (Offices – Sole Tenancy, and Hours), 343.10 and NYSE Rule Interpretation 343(a)/01 has been changed to April 7, 2014, to correspond to the effective date of the revised Form BR (See Regulatory Notice 14-11).