Regulatory Notice 08-68

FINRA Requests Comment on Proposed FINRA Rule Addressing the Circulation of Rumors

Comment Period Expired: December 18, 2008

As part of the process of developing a new, consolidated rulebook (the Consolidated FINRA Rulebook), FINRA is requesting comment on a proposed FINRA Rule relating to the circulation of rumors. The proposed rule is based on FINRA Rule 6140 and Incorporated NYSE Rule 435(5).1

Questions concerning this Notice should be directed to Brant Brown, Associate General Counsel, Office of General Counsel, at (202) 728-6927.

1 The current FINRA rulebook includes, (1) NASD Rules; and (2) rules incorporated from NYSE (Incorporated NYSE Rules). While the NASD Rules generally apply to all FINRA members, the Incorporated NYSE Rules apply only to those members of FINRA that are also members of the NYSE (Dual Members). The new FINRA Rules will apply to all member firms, unless such rules have a more limited application by their terms. For more information about the rulebook consolidation process, see FINRA Information Notice 03/12/08 (Rulebook Consolidation Process).

The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments: 
DateCommenterFormat - Size
11/20/2008Depfa First Albany Securities, LLCPDF - 11.78 KB
11/19/2008Michel Capital, LLCPDF - 13.66 KB
11/24/2008Alexandra LawrencePDF - 11.46 KB
12/4/2008Daniel W. RobertsPDF - 14.51 KB
12/14/2008RegHELL.comPDF - 29.22 KB
12/16/2008NSCPPDF - 75.91 KB
12/16/2008NPB Financial Group, LLCPDF - 45.08 KB
12/16/2008National Planning Holdings, Inc.PDF - 41.28 KB
12/18/2008Sutherland Asbill & BrennanPDF - 121.69 KB
12/18/2008Scottrade, Inc.PDF - 25.81 KB
12/18/2008Schottenfeld Group LLCPDF - 2.57 MB
12/18/2008Financial Services InstitutePDF - 64.38 KB
12/18/2008Investment Company InstitutePDF - 746.39 KB
12/18/2008Managed Funds AssociationPDF - 100.43 KB
12/18/2008SIFMAPDF - 66.08 KB
12/22/2008Fairfax Financial Holdings LimitedPDF - 645.45 KB
12/4/2008Sandy PappalardoPDF - 11.51 KB