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.

DateTitleFormat - SizeStatus
5/23/2008Text of Proposed Rule ChangePDF - 2.56 MB
7/11/2008Amendment No. 1 to Proposed Rule ChangePDF - 127.4 KB
7/23/2008Federal Register NoticePDF - 76.91 KB
8/14/2008Extension No. 1PDF - 19.7 KB
9/11/2008Extension No. 2PDF - 23.46 KB
9/11/2008Extension No. 3PDF - 19.38 KB
10/1/2008Approval OrderPDF - 59.39 KB