Proposed Rule Change to Adopt FINRA Rule 2267 (Investor Education and Protection) in the Consolidated FINRA Rulebook

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 new FINRA Rule 2267 (Investor Education and Protection) based on NASD Rule 2280. The proposed rule change would require member firms, with certain exceptions, to provide customers with FINRA’s Web site address and information regarding FINRA’s BrokerCheck program at least once every calendar year. The text of the proposed rule change is attached as Exhibit 5 to this rule filing.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 73.61 KB
Federal Register NoticePDF - 61.09 KB
Extension No. 1PDF - 19.42 KB
Extension No. 2PDF - 23.37 KB
Extension No. 3PDF - 23.38 KB
Amendment No. 1 to Proposed Rule ChangePDF - 56.96 KB
Response to CommentsPDF - 90.25 KB
Extension No. 4PDF - 23.39 KB
Approval OrderPDF - 57.75 KB