Regulatory Notice 11-19

SEC Approves Consolidated FINRA Rules Governing Books and Records

Effective Date: December 5, 2011

Executive Summary

The SEC approved FINRA’s proposal to adopt rules governing books and records for the consolidated FINRA rulebook. The new rules, FINRA Rules 2268, 4511, 4512, 4513, 4514, 4515, 5340 and 7440(a)(4), are based in large part on NASD Rule 3110, NYSE Rule 440 and NYSE Rule Interpretations 410/01 and 410/02.

 

The text of the new rules is set forth in Attachment A. The rules take effect on December 5, 2011.

 

Questions regarding this Notice should be directed to Afshin Atabaki, Assistant General Counsel, Office of General Counsel, at (202) 728-8902.