SR-FINRA-2009-090

Proposed Rule Change to Adopt FINRA Rule 5320 (Prohibition Against Trading Ahead of Customer Orders) 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 Interpretive Material (IM) 2110-2 (Trading Ahead of Customer Limit Order) and NASD Rule 2111 (Trading Ahead of Customer Market Orders) with significant changes in the Consolidated FINRA Rulebook as new FINRA Rule 5320 (Prohibition Against Trading Ahead of Customer Orders).

DateTitleFormat - SizeStatus
12/8/2009Text of Proposed Rule ChangePDF - 116.94 KB
12/22/2009Federal Register NoticePDF - 68.38 KB
1/13/2010Extension No. 1PDF - 23.72 KB
2/5/2010Extension No. 2PDF - 19.45 KB
3/10/2010Extension No. 3PDF - 23.72 KB
3/26/2010Extension No. 4PDF - 27.78 KB
4/22/2010Extension No. 5PDF - 19.78 KB
5/18/2010Extension No. 6PDF - 19.45 KB
6/17/2010Extension No. 7PDF - 23.72 KB
7/16/2010Extension No. 8PDF - 23.2 KB
8/6/2010Extension No. 9PDF - 25.96 KB
8/31/2010Response to CommentsPDF - 691.35 KB
9/3/2010Extension No. 10PDF - 27.46 KB
9/16/2010Extension No. 11PDF - 27.46 KB
10/1/2010Extension No. 12PDF - 27.44 KB
10/15/2010Extension No. 13PDF - 27.45 KB
11/1/2010Extension No. 14PDF - 34.1 KB
11/11/2010Extension No. 15PDF - 27.2 KB
11/19/2010Extension No. 16PDF - 27.2 KB
12/3/2010Extension No. 17PDF - 27.25 KB
12/10/2010Extension No. 18PDF - 30 KB
12/16/2010Extension No. 19PDF - 27.2 KB
12/23/2010Extension No. 20PDF - 27.2 KB
1/14/2011Extension No. 21PDF - 31.19 KB
1/24/2011Extension No. 22PDF - 27.2 KB
1/24/2011Amendment No. 1 to Proposed Rule ChangePDF - 73.96 KB
1/28/2011Extension No. 23PDF - 27.16 KB
2/7/2011Extension No. 24PDF - 27.25 KB
2/17/2011Approval OrderPDF - 200.52 KB