SR-FINRA-2009-080

Proposed Rule Change to Adopt FINRA Rule 4570 (Custodian of Books and Records) 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 3121 (Custodian of the Record) as FINRA Rule 4570 (Custodian of Books and Records) in the consolidated FINRA rulebook with minor changes.

DateTitleFormat - SizeStatus
11/17/2009Text of Proposed Rule ChangePDF - 111.35 KB
12/11/2009Federal Register NoticePDF - 59.93 KB
1/20/2010Approval OrderPDF - 56.48 KB