SR-FINRA-2015-029
Proposed Rule Change to Adopt FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) in the Consolidated FINRA Rulebook
Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) in the consolidated FINRA rulebook and to delete NASD Rule 3050, Incorporated NYSE Rules 407 and 407A and Incorporated NYSE Rule Interpretations 407/01 and 407/02.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 6.11 MB | |
| Federal Register Notice | PDF - 227.82 KB | |
| Extension No. 1 | PDF - 64.14 KB | |
| Amendment No. 1 and Response to Comments | PDF - 83.06 KB | |
| Order Instituting Proceedings to Determine Whether to Approve or Disapprove | PDF - 218.21 KB | |
| Notice of Designation of a Longer Period for Commission Action | PDF - 192.47 KB | |
| Amendment No. 2 to Proposed Rule Change | PDF - 68.23 KB | |
| Approval Order | PDF - 209.07 KB |