Proposed Rule Change to Amend Certain Provisions of Rule 2821

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 certain provisions of Rule 2821.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 92.87 KB
Federal Register NoticePDF - 74.97 KB
Extension No. 1PDF - 19.38 KB
Response to CommentsPDF - 457.86 KB
Amendment No. 1 to Proposed Rule ChangePDF - 167.48 KB
Extension No. 2PDF - 23.51 KB
Amendment No. 2 to Proposed Rule ChangePDF - 163.32 KB
Approval OrderPDF - 76.68 KB