Proposed Rule to Amend Certain NYSE Rules to Reduce Regulatory Duplication and Relieve Firms that are Members of Both FINRA and the NYSE of Conflicting or Unneccesary Regulatory Burdens in the Interim Period Before a Consolidated FINRA Rulebook is Completed

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 NYSE Rules to reduce regulatory duplication and relieve firms that are members of both FINRA and the NYSE ("Dual Members") of conflicting or unnecessary regulatory burdens in the interim period before a consolidated FINRA rulebook is completed.

DateTitleFormat - SizeStatus
7/3/2008Text of Proposed Rule ChangePDF - 227.42 KB
7/3/2008Federal Register NoticePDF - 80.42 KB
8/14/2008Extension No. 1PDF - 19.34 KB
9/22/2008Approval OrderPDF - 54.2 KB