Regulation
SR-FINRA-2009-028
Proposed Rule Change to Adopt FINRA Rule 2231 (Customer Account Statements) 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 NASD Rule 2340 (Customer Account Statements) as FINRA Rule 2231 in the consolidated FINRA rulebook with moderate changes. The proposed rule change would delete Incorporated NYSE Rule 409 (Statements of Accounts of Customers), except for paragraph (f), and certain of its related interpretations.
| Text of Proposed Rule Change | (PDF 256 KB) |
| Federal Register Notice | (PDF 65 KB) |
| Extension No. 1 | (PDF 24 KB) |
| Extension No. 2 | (PDF 20 KB) |
| Extension No. 3 | (PDF 20 KB) |
| Extension No. 4 | (PDF 24 KB) |
| Extension No. 5 | (PDF 24 KB) |
| Extension No. 6 | (PDF 24 KB) |
| Extension No. 7 | (PDF 24 KB) |
| Extension No. 8 | (PDF 24 KB) |
| Extension No. 9 | (PDF 24 KB) |
| Extension No. 10 | (PDF 24 KB) |
| Extension No. 11 | (PDF 23 KB) |
| Extension No. 12 | (PDF 27 KB) |
| Extension No. 13 | (PDF 26 KB) |
| Extension No. 14 | (PDF 27 KB) |
| Extension No. 15 | (PDF 27 KB) |
| Extension No. 16 | (PDF 26 KB) |
| Extension No. 17 | (PDF 26 KB) |
| Extension No. 18 | (PDF 26 KB) |
| Amendment No. 1 to Proposed Rule Change | (PDF 228 KB) |
| Notice of Filing of Amendment No. 1 | (PDF 206 KB) |
| Extension No. 19 | (PDF 27 KB) |
| Notice of Filing of Amendment No. 1 (Correction) | (PDF 138 KB) |
| Extension No. 20 | (PDF 26 KB) |
| Extension No. 21 | (PDF 26 KB) |