Proposed Rule Change to Amend FINRA's NYSE Rules 421, 440F and 440G to Conform with Changes by the NYSE to its Versions of Rules 421, 440F and 440G

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 amend FINRA's NYSE Rules 421 (Periodic Reports), 440F (Public Short Sale Transactions Effected on the Exchange) and 440G (Transactions in Stock and Warrants for the Accounts of Members, Allied Members and Member Organizations) to conform such rules with the SEC's amendments to Rule 10a-1 (SEC Rule 10a-1) and Regulation SHO under the Act. The proposed rule change makes conforming changes to FINRA's NYSE Rules 421, 440F and 440G, consistent with the proposed rule change by the New York Stock Exchange, LLC ("NYSE") to its versions of Rules 421, 440F and 440G.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 75.24 KB
Notice of Filing and Immediate EffectivenessPDF - 70.08 KB