Proposed Rule Change to Update a Cross-Reference within FINRA Rule 0150

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 update a cross-reference within FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities) to reflect a change adopted in the consolidated FINRA rulebook.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 56.22 KB
Notice of Filing and Immediate EffectivenessPDF - 61.38 KB