SR-FINRA-2009-047

Proposed Rule Change to Adopt FINRA Rule 3160 (Networking Arrangements Between Members and Financial Institutions) 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 Rule 2350 (Broker/Dealer Conduct on the Premises of Financial Institutions) as FINRA Rule 3160 in the consolidated FINRA rulebook.

DateTitleFormat - SizeStatus
7/21/2009Text of Proposed Rule ChangePDF - 210.72 KB
8/18/2009Federal Register NoticePDF - 64.03 KB
9/21/2009Extension No. 1PDF - 23.6 KB
10/23/2009Extension No. 2PDF - 23.6 KB
12/11/2009Extension No. 3PDF - 19.39 KB
2/5/2010Response to CommentsPDF - 260.17 KB
2/5/2010Amendment No. 1 to Proposed Rule ChangePDF - 53.23 KB
3/2/2010Extension No. 4PDF - 23.59 KB
3/23/2010Approval OrderPDF - 73.17 KB