Proposed Rule Change Relating to the General Securities Sales Supervisor (Series 9/10) Registration Category

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend NASD Rule 1022(g) (Limited Principal—General Securities Sales Supervisor) and NASD IM-1022-2 (Limited Principal—General Securities Sales Supervisor) to remove the restriction on General Securities Sales Supervisors from approving advertisements as defined in NASD Rule 2210 (Communications with the Public).

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 93.95 KB
Notice of Filing and Immediate EffectivenessPDF - 203.28 KB