Proposed Rule Change to Amend Rule 2220 to Update the Standards for Options Communications

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 NASD Rule 2220 (Options Communications with the Public) to better address current needs for regulating options communications practices and promote consistency across the options communications rules of other self-regulatory organizations ("SROs").

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 154.17 KB
Federal Register NoticePDF - 90.24 KB
Extension No. 1PDF - 23.44 KB
Extension No. 2PDF - 23.46 KB
Extension No. 3PDF - 23.46 KB
Amendment No. 1 and Response to CommentsPDF - 110.62 KB
Approval OrderPDF - 71.92 KB