Proposed Rule Change to Adopt NASD Rules 4000 Through 10000 Series and the 12000 Through 14000 Series as FINRA Rules in the New Consolidated FINRA Rulebook

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 adopt the following NASD Rules (which are part of the existing FINRA rulebook) as FINRA Rules in the new consolidated FINRA rulebook: the 4000 through 10000 Series and the 12000 through 14000 Series.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 2.56 MB
Amendment No. 1 to Proposed Rule ChangePDF - 127.4 KB
Federal Register NoticePDF - 76.91 KB
Extension No. 1PDF - 19.7 KB
Extension No. 2PDF - 23.46 KB
Extension No. 3PDF - 19.38 KB
Approval OrderPDF - 59.39 KB