Proposed Rule Change to Adopt FINRA Rule 4320 (Short Sale Delivery Requirements) 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 3210 (Short Sale Delivery Requirements) as FINRA Rule 4320 in the consolidated FINRA rulebook.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 73.13 KB
Amendment No.1 to Proposed Rule ChangePDF - 33.59 KB
Federal Register NoticePDF - 65.01 KB
Approval OrderPDF - 51.58 KB