Financial Industry Regulatory Authority, Inc. (“FINRA”) (f/k/a National Association of Securities Dealers, Inc. (“NASD”)) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt the following NASD Rules (which are part of the existing FINRA rulebook) as FINRA Rules in the new consolidated FINRA rulebook: the 4000 through 10000 Series and the 12000 through 14000 Series.
| Text of Proposed Rule Change | (PDF 2622 KB) |
| Amendment No. 1 to Proposed Rule Change | (PDF 128 KB) |
| Federal Register Notice | (PDF 72 KB) |
| Extension No. 1 | (PDF 20 KB) |
| Extension No. 2 | (PDF 24 KB) |
| Extension No. 3 | (PDF 20 KB) |
| Approval Order | (PDF 56 KB) |
