Regulatory Notice 14-05
SEC Approves Consolidated FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection – Permissible Use of Customers’ Securities) and 4340 (Callable Securities)
The SEC approved FINRA’s proposed rule change to adopt additional financial and operational rules for the consolidated FINRA Rulebook (the Consolidated Rulebook). FINRA Rules 4314, 4330 and 4340 are new consolidated rules governing securities loans and borrowings, permissible use of customers’ securities and callable securities. The new rules are based in part on, and replace, provisions of the NYSE and NASD rules and include new provisions.
Questions regarding this Notice should be directed to:
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|Attachment to Regulatory Notice 14-05||PDF - 65.64 KB|