Proposed Rule Change to Adopt FINRA Rule 4530 (Reporting 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 3070 (Reporting Requirements) as FINRA Rule 4530 (Reporting Requirements) in the consolidated FINRA rulebook, subject to certain amendments, and to delete paragraphs (a) through (d) of Incorporated NYSE Rule 351 (Reporting Requirements) and Incorporated NYSE Rules 351.10 and 351.13. The proposed rule change also would add a supplementary material section to proposed FINRA Rule 4530.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 205.61 KB
Federal Register NoticePDF - 75.97 KB
Extension No. 1PDF - 31.49 KB
Extension No. 2PDF - 27.47 KB
Amendment No. 1 to Proposed Rule ChangePDF - 199.54 KB
Amendment No. 2 to Proposed Rule ChangePDF - 101.12 KB
Approval OrderPDF - 88.46 KB