SR-FINRA-2012-036

Proposed Rule Change Regarding the Implementation Date for Amendments to NASD Rules 1012 and 1017 in SR-FINRA-2012-018

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 regarding the implementation date for amendments to NASD Rules 1012 and 1017 in SR-FINRA-2012-018 approved by the Commission on May 31, 2012.

DateTitleFormat - SizeStatus
7/20/2012Text of Proposed Rule ChangePDF - 52.71 KB
7/27/2012Notice of Filing and Immediate EffectivenessPDF - 195.29 KB