Proposed Rule Change to Amend FINRA Rule 0160 (Definitions in FINRA By-Laws)

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 amend FINRA Rule 0160 (Definitions in FINRA By-Laws).  The proposed rule change would transfer certain defined terms from NASD Rule 0120 (Definitions) to FINRA Rule 0160, subject to certain amendments, as well as add new defined terms to reflect the conventions of the consolidated FINRA rulebook.  The proposed rule change also would eliminate as unnecessary or duplicative certain definitions contained in NASD Rule 0120.

DateTitleFormat - SizeStatus
8/31/2011Text of Proposed Rule ChangePDF - 94.26 KB
9/16/2011Federal Register NoticePDF - 154.13 KB
10/26/2011Approval OrderPDF - 145.65 KB