SR-FINRA-2009-044

Proposed Rule Change to Adopt FINRA Rules 2262, 2269 and 5260 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 without material change NASD Rules 2240 (Disclosure of Control Relationship with Issuer), 2250 (Disclosure of Participation or Interest in Primary or Secondary Distribution) and 3340 (Prohibition on Transactions, Publication of Quotations, or Publication of Indications of Interest During Trading Halts) in the consolidated FINRA rulebook and to delete Incorporated NYSE Rules 312(f)(1) through 312(f)(3) and 321.24. The proposed rule change would renumber NASD Rules 2240, 2250 and 3340 as FINRA Rules 2262, 2269 and 5260, respectively, in the consolidated FINRA rulebook.

DateTitleFormat - SizeStatus
6/29/2009Text of Proposed Rule ChangePDF - 92.06 KB
7/24/2009Federal Register NoticePDF - 65.24 KB
8/26/2009Extension No. 1PDF - 23.64 KB
9/11/2009Amendment No. 1 to Proposed Rule ChangePDF - 33.69 KB
9/22/2009Approval OrderPDF - 54.73 KB