Proposed Rule Change to Adopt FINRA Rules 2124 (Net Transactions with Customers), 2220 (Options Communications), 4370 (Business Continuity Plans and Emergency Contact Information) and 5250 (Payments for Market Making) in the Consolidated FINRA Rulebook

Financial Industry Regulatory Authority, Inc. (“FINRA”) (f/k/a National Association of Securities Dealers, Inc. (“NASD”)) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt NASD Rules 2220 (Options Communications), 2441 (Net Transactions with Customers), 2460 (Payments for Market Making), 3510 (Business Continuity Plans) and 3520 (Emergency Contact Information) as FINRA rules in the consolidated FINRA rulebook without substantive change. The proposed rule change would renumber NASD Rule 2220 as FINRA Rule 2220, NASD Rule 2441 as FINRA Rule 2124, NASD Rule 2460 as FINRA Rule 5250 and NASD Rules 3510 and 3520 would be combined into FINRA Rule 4370 in the consolidated FINRA rulebook.

DateTitleFormat - SizeStatus
5/19/2009Text of Proposed Rule ChangePDF - 234.14 KB
6/15/2009Federal Register NoticePDF - 58.85 KB
7/22/2009Extension No. 1PDF - 23.59 KB
7/24/2009Response to CommentsPDF - 100.28 KB
7/24/2009Amendment No. 1 to Proposed Rule ChangePDF - 45.45 KB
8/28/2009Approval OrderPDF - 58.5 KB