Regulatory Notice 10-10

SEC Approval and Effective Date for New Consolidated FINRA Rules

Effective Date: April 19, 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 January, the SEC approved three new consolidated FINRA rules, all of which take effect on April 19, 2010.

Questions regarding this Notice should be directed to:

  • Brant Brown, Associate General Counsel, Office of General Counsel (OGC), at (202) 728-6927 (regarding FINRA Rule 5330);
  • Erika Lazar, Senior Attorney, OGC, at (202) 728-8013 (regarding FINRA Rule 5160); or
  • Matthew Vitek, Counsel, OGC, at (202) 728-6961 (regarding FINRA Rule 4570).