Proposed Rule Change to Amend NASD IM-1013-1 to Address the Applicability of the Consolidated FINRA Rules to Firms That Became FINRA Members Pursuant to IM-1013-1

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 NASD Interpretive Material 1013-1 (“IM-1013-1”) to address the applicability of the consolidated FINRA rules to member firms of the New York Stock Exchange (“NYSE”) that became members of FINRA pursuant to the membership waive-in process set forth in IM-1013-1.  

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 67.25 KB
Federal Register NoticePDF - 66.54 KB
Extension No. 1PDF - 19.66 KB
Extension No. 2PDF - 19.36 KB
Extension No. 3PDF - 19.37 KB
Approval OrderPDF - 59.39 KB