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Proposed Rule Change Relating to Security-Based Swaps

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 0180, 4120, 4210, 4220, 4240 and 9610 to clarify the application of its rules to security-based swaps (“SBS”) following the SEC’s completion of its rulemaking regarding SBS dealers (“SBSDs”) and major SBS participants (“MSBSPs”) (collectively, “SBS Entities”).

Title Format - Size Status
Text of the Proposed Rule Change PDF - 1.41 MB
Federal Register Notice PDF - 1.56 MB
Extension No. 1 PDF - 471.82 KB New