Proposed Rule Change to Adopt FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest) 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 2720 (Public Offerings of Securities With Conflicts of Interest) as a FINRA rule in the consolidated FINRA rulebook without material change. The proposed rule change would renumber NASD Rule 2720 as FINRA Rule 5121 in the consolidated FINRA rulebook.

DateTitleFormat - SizeStatus
5/20/2010Text of Proposed Rule ChangePDF - 79.04 KB
6/4/2010Federal Register NoticePDF - 58.91 KB
7/8/2010Extension No.1PDF - 19.7 KB
7/23/2010Response to CommentsPDF - 729.39 KB
8/18/2010Approval OrderPDF - 53.43 KB