Proposed Rule Change to Adopt FINRA Rules 2130 (Approval Procedures for Day-Trading Accounts) and 2270 (Day-Trading Risk Disclosure Statement) 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 Rules 2360 (Approval Procedures for Day-Trading Accounts) and 2361 (Day-Trading Risk Disclosure Statement) as FINRA rules in the consolidated FINRA rulebook with minor changes. The proposed rule change would renumber NASD Rule 2360 as FINRA Rule 2130 and NASD Rule 2361 as FINRA Rule 2270 in the consolidated FINRA rulebook.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 220.18 KB
Federal Register NoticePDF - 59.52 KB
Approval OrderPDF - 54.79 KB