SR-FINRA-2009-086

Proposed Rule Change to Adopt FINRA Rule 5160 (Disclosure of Price and Concessions in Selling Agreements) 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 2770 (Disclosure of Price in Selling Agreements) as FINRA Rule 5160 (Disclosure of Price and Concessions in Selling Agreements) in the consolidated FINRA rulebook without material change.

DateTitleFormat - SizeStatus
12/3/2009Text of Proposed Rule ChangePDF - 59.68 KB
12/22/2009Federal Register NoticePDF - 54.7 KB
2/1/2010Approval OrderPDF - 50.01 KB