Proposed Rule Change to Adopt FINRA Rule 4360 (Fidelity Bonds) 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 3020 (Fidelity Bonds) with certain changes into the consolidated FINRA rulebook as FINRA Rule 4360 (Fidelity Bonds), taking into account Incorporated NYSE Rule 319 (Fidelity Bonds) and its Interpretation.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 982.76 KB
Federal Register NoticePDF - 81.61 KB
Extension No. 1PDF - 27.13 KB
Response to CommentsPDF - 248.4 KB
Approval OrderPDF - 189.23 KB