SR-FINRA-2010-052

Proposed Rule Change to Adopt FINRA Rules Regarding Books and Records 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 certain paragraphs of NASD Rule 3110 (Books and Records), subject to certain amendments, as FINRA Rules in the consolidated FINRA rulebook and to adopt Incorporated NYSE Rule Interpretations 410/01 (Pre-Time Stamping) and 410/02 (Allocations of Block Orders), subject to certain amendments, as FINRA Rules in the consolidated FINRA rulebook.

DateTitleFormat - SizeStatus
10/21/2010Text of Proposed Rule ChangePDF - 229.34 KB
11/1/2010Federal Register NoticePDF - 91.86 KB
12/1/2010Extension No. 1PDF - 27.21 KB
1/10/2011Extension No. 2PDF - 27.25 KB
1/13/2011Response to CommentsPDF - 634.19 KB
2/2/2011Approval OrderPDF - 205.63 KB