Regulatory Notice 14-10
SEC Approves New Supervision Rules
The SEC approved FINRA’s new consolidated rules governing supervision. The new Rules 3110, 3120, 3150 and 3170 replace NASD Rules 3010, 3012 and 3110(i) and other corresponding NYSE rule provisions. The new rules become effective on December 1, 2014.
Questions concerning this Notice should be directed to:
- Brant Brown, Associate General Counsel, Office of General Counsel (OGC), at (202) 728-6927; or
- Kosha Dalal, Associate Vice President and Associate General Counsel, OGC, at (202) 728- 6903.
|Date||Title||Format - Size|
|10/9/2015||Attachment to Regulatory Notice 14-10||PDF - 117.43 KB|