SR-FINRA-2009-047
Proposed Rule Change to Adopt FINRA Rule 3160 (Networking Arrangements Between Members and Financial Institutions) 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 Rule 2350 (Broker/Dealer Conduct on the Premises of Financial Institutions) as FINRA Rule 3160 in the consolidated FINRA rulebook.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 210.72 KB | |
| Federal Register Notice | PDF - 64.03 KB | |
| Extension No. 1 | PDF - 23.6 KB | |
| Extension No. 2 | PDF - 23.6 KB | |
| Extension No. 3 | PDF - 19.39 KB | |
| Response to Comments | PDF - 260.17 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 53.23 KB | |
| Extension No. 4 | PDF - 23.59 KB | |
| Approval Order | PDF - 73.17 KB |