Proposed Rule Change to Update Cross-References Within Certain FINRA Rules and to 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-subtantive technical changes to certain FINRA and NASD Rules.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 85.39 KB
Notice of Filing and Immediate EffectivenessPDF - 202.06 KB