SR-FINRA-2009-009

Proposed Rule Change to Adopt FINRA Rule 1122 (Filing of Misleading Information as to Membership or Registration) 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 NASD Interpretative Material 1000-1 (“IM-1000-1”) (Filing of Misleading Information as to Membership or Registration) as a FINRA rule in the consolidated FINRA rulebook with minor changes. The proposed rule change would renumber NASD IM-1000-1 as FINRA Rule 1122 in the consolidated FINRA rulebook.

DateTitleFormat - SizeStatus
3/3/2009Text of Proposed Rule ChangePDF - 56.77 KB
3/19/2009Federal Register NoticePDF - 55.66 KB
4/24/2009Approval OrderPDF - 53.52 KB