SR-FINRA-2010-010
Proposed Rule Change to Update a Cross-Reference within FINRA Rule 0150
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 update a cross-reference within FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities) to reflect a change adopted in the consolidated FINRA rulebook.
| Text of Proposed Rule Change | (PDF 57 KB) |
| Notice of Filing and Immediate Effectiveness | (PDF 58 KB) |