SR-FINRA-2009-058
Proposed Rule Change to Adopt FINRA Rule 2232 (Customer Confirmations) 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 a customer confirmation rule for purposes of the consolidated FINRA rulebook. FINRA proposes to adopt FINRA Rule 2232 (Customer Confirmations) and to delete NASD Rule 2230, NASD IM-2110-6 and Incorporated NYSE Rule 409(f).
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 193.91 KB | |
| Federal Register Notice | PDF - 63.67 KB | |
| Extension No. 1 | PDF - 23.71 KB | |
| Extension No. 2 | PDF - 23.7 KB | |
| Extension No. 3 | PDF - 23.71 KB | |
| Extension No. 4 | PDF - 27.69 KB | |
| Extension No. 5 | PDF - 19.53 KB | |
| Extension No. 6 | PDF - 23.71 KB | |
| Extension No. 7 | PDF - 23.07 KB | |
| Extension No. 8 | PDF - 25.99 KB | |
| Response to Comments | PDF - 721.12 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 101.84 KB | |
| Extension No. 9 | PDF - 27.45 KB | |
| Extension No. 10 | PDF - 27.45 KB | |
| Approval Order | PDF - 72.06 KB |