Proposed Rule Change to Amend NASD Rules 2210 and 2211 and Incorporated NYSE Rule 472 to Define Market Letters as Correspondence Rather than as Sales Literature

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 Rules 2210 (Communications with the Public) and 2211 (Institutional Sales Material and Correspondence) and Incorporated NYSE Rule 472 (Communications with the Public) to define market letters as correspondence rather than as sales literature.

This rule filing was replaced with SR-FINRA-2008-044.

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Text of Proposed Rule ChangePDF - 80.48 KB