Regulatory Notice 09-33

SEC Approval and Effective Date for New Consolidated FINRA Rules

Effective Date: August 17, 2009

Following the consolidation of NASD and the member regulation, enforcement and arbitration functions of NYSE Regulation into FINRA, FINRA established a process to develop a new consolidated rulebook (Consolidated FINRA Rulebook), which FINRA has discussed in previous Information Notices. FINRA is proposing new consolidated rules in phases for approval by the SEC as part of the Consolidated FINRA Rulebook. In April and May 2009, the SEC approved eight new consolidated FINRA Rules, which will take effect on August 17, 2009.

Questions regarding this Notice should be directed to:

  • Erika L. Lazar, Senior Attorney, Office of General Counsel (OGC), at (646) 315-8512 (regarding FINRA Rule 2267);
  • Stan Macel, Assistant General Counsel, OGC, at (202) 728-8056 (regarding FINRA Rules 2080, 2266, 2310, 2342, 3250 and 4551); or
  • Matthew E. Vitek, Counsel, OGC, at (202) 728-8156 (regarding FINRA Rule 1122).