SR-FINRA-2008-055

Proposed Rule Change to Adopt NASD Rule 2315 (Recommendations to Customers in OTC Equity Securities) as a FINRA Rule

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 NASD Rule 2315 (Recommendations to Customers in OTC Equity Securities) as a FINRA rule, subject to certain amendments. The proposed rule change would renumber NASD Rule 2315 as FINRA Rule 2114 in the consolidated FINRA Rulebook.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 140.39 KB
Federal Register NoticePDF - 66 KB
Response to CommentsPDF - 143.23 KB
Amendment No. 1 to Proposed Rule ChangePDF - 42.35 KB
Extension No. 1PDF - 23.42 KB
Approval OrderPDF - 66.31 KB