Proposed Rule Change to Adopt FINRA Rule 2232 (Customer Confirmations) 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 a customer confirmation rule for purposes of the consolidated FINRA rulebook. FINRA proposes to adopt FINRA Rule 2232 (Customer Confirmations) and to delete NASD Rule 2230, NASD IM-2110-6 and Incorporated NYSE Rule 409(f).

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 193.91 KB
Federal Register NoticePDF - 63.67 KB
Extension No. 1PDF - 23.71 KB
Extension No. 2PDF - 23.7 KB
Extension No. 3PDF - 23.71 KB
Extension No. 4PDF - 27.69 KB
Extension No. 5PDF - 19.53 KB
Extension No. 6PDF - 23.71 KB
Extension No. 7PDF - 23.07 KB
Extension No. 8PDF - 25.99 KB
Response to CommentsPDF - 721.12 KB
Amendment No. 1 to Proposed Rule ChangePDF - 101.84 KB
Extension No. 9PDF - 27.45 KB
Extension No. 10PDF - 27.45 KB
Approval OrderPDF - 72.06 KB