Proposed Rule Change to Amend NASD IM-9216 to Expand the FINRA Minor Rule Violation Plan

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 Interpretive Material (IM) 9216 to expand FINRA's Minor Rule Violation Plan ("MRVP") to include violations of options position and exercise limits and contrary exercise advice procedures.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 67.2 KB
Approval OrderPDF - 68.68 KB