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FINRA Rules |
Following the consolidation of NASD and NYSE Member Regulation into FINRA, FINRA is working toward a new consolidated rulebook, which seeks not only to harmonize and streamline existing rules, but also to give consideration to the rapidly evolving nature of the securities business and the broad diversity of firms subject to FINRA regulation. The current FINRA rulebook consists of two sets of rules - NASD Rules and NYSE Incorporated rules, with the latter only applicable to members of FINRA that are also members of the NYSE (dual members). The new FINRA Rules will apply to all FINRA members, unless such rules have a more limited application by their terms, and will be proposed in phases to the SEC. As rules approved by the SEC become effective, they will replace the existing NASD rules and Incorporated NYSE rules. Please refer to the March 12 Information Notice for more information on the rulebook consolidation process. Note: This page will be updated regularly as rule proposals and requests for comments are made. |
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