Regulatory Notice 09-72

SEC Approval and Effective Dates for New Consolidated FINRA Rules

Effective Date (all rules except FINRA Rule 2330): February 15, 2010 Effective Date (FINRA Rule 2330): February 8, 2010

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 October and November, the SEC approved eight new consolidated FINRA rules. All of the new rules take effect on February 15, 2010 except for FINRA Rule 2330, which has an implementation date of February 8, 2010.

Questions regarding this Notice should be directed to:

  • Adam Arkel, Assistant General Counsel, Office of General Counsel (OGC), at (202) 728-6961 (regarding FINRA Rule 2251);
  • Lisa Horrigan, Associate General Counsel, OGC, at (202) 728-8190 (regarding FINRA Rule 5290);
  • Stan Macel, Assistant General Counsel, OGC, at (202) 728-8056 (regarding FINRA Rules 2130 and 2270);
  • Racquel Russell, Assistant General Counsel, OGC, at (202) 728-8363 (regarding FINRA Rules 5210 and 5220);
  • Matthew Vitek, Counsel, OGC, at (202) 728-6961 (regarding FINRA Rule 2060); or
  • Jim Wrona, Associate Vice President & Associate General Counsel, OGC, at (202) 728-8270 (regarding FINRA Rule 2330).