SR-FINRA-2007-024
Proposed Rule Change to Amend NASD Rule 2320 Regarding Best Execution and Interpositioning
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 (1) amend NASD Rule 2320 to update members' best execution obligations involving interpositioning and (2) amend NASD Rules 3110(b), 6750(b), and IM-2320 to reflect the redesignation of certain paragraphs in Rule 2320.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 69.12 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 121.57 KB | |
| Extension No. 1 | PDF - 23.38 KB | |
| Extension No. 2 | PDF - 23.4 KB | |
| Extension No. 3 | PDF - 23.58 KB | |
| Extension No. 4 | PDF - 23.58 KB | |
| Approval Order | PDF - 52.89 KB |