SR-FINRA-2008-062
Proposed Rule Change to Adopt FINRA Rule 2267 (Investor Education and Protection) in the Consolidated FINRA Rulebook
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 new FINRA Rule 2267 (Investor Education and Protection) based on NASD Rule 2280. The proposed rule change would require member firms, with certain exceptions, to provide customers with FINRA’s Web site address and information regarding FINRA’s BrokerCheck program at least once every calendar year. The text of the proposed rule change is attached as Exhibit 5 to this rule filing.
| Text of Proposed Rule Change | (PDF 74 KB) |
| Federal Register Notice | (PDF 62 KB) |
| Extension No. 1 | (PDF 20 KB) |
| Extension No. 2 | (PDF 20 KB) |
| Extension No. 3 | (PDF 20 KB) |
| Amendment No. 1 to Proposed Rule Change | (PDF 57 KB) |
| Response to Comments | (PDF 91 KB) |
| Extension No. 4 | (PDF 20 KB) |
| Approval Order | (PDF 58 KB) |