SR-FINRA-2011-050

Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules

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 update cross-references within certain FINRA rules to reflect changes adopted in the consolidated FINRA rulebook and to make non-substantive technical changes to certain FINRA and NASD Rules.

DateTitleFormat - SizeStatus
9/15/2011Text of Proposed Rule ChangePDF - 76.11 KB
9/28/2011Notice of Filing and Immediate EffectivenessPDF - 146.38 KB