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SR-FINRA-2012-036

Proposed Rule Change Regarding the Implementation Date for Amendments to NASD Rules 1012 and 1017 in SR-FINRA-2012-018

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 regarding the implementation date for amendments to NASD Rules 1012 and 1017 in SR-FINRA-2012-018 approved by the Commission on May 31, 2012.

Title Format - Size Status
Text of Proposed Rule Change PDF - 52.71 KB
Notice of Filing and Immediate Effectiveness PDF - 195.29 KB