Proposed Rule Change to Repeal Incorporated NYSE Rules 134 and 440I as Part of the Process to Develop 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 repeal Incorporated NYSE Rule 134 (Differences and Omissions – Cleared Transactions) and Incorporated NYSE Rule 440I (Records of Compensation Arrangements – Floor Brokerage), as part of the process of developing the consolidated FINRA rulebook.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 167.32 KB
Federal Register NoticePDF - 58.96 KB
Extension No. 1PDF - 23.44 KB
Approval OrderPDF - 55.28 KB