In a May 1 filing with the Securities and Exchange Commission, the Financial Industry Regulatory Authority proposed rule changes to adopt certain National Association of Securities Dealers, Inc. (NASD) rules, without substantive changes, as FINRA rules in the consolidated FINRA rulebook. The proposed rule change would renumber NASD Rule 2220 (Options Communications) as FINRA Rule 2220, NASD Rule 2441 (Net Transactions with Customers) as FINRA Rule 2124, and NASD Rule 2460 (Payments for Market Making) as FINRA Rule 5250. In addition, the proposed rule change would combine NASD Rules 3510 (Business Continuity Plans) and 3520 (Emergency Contact Information) into FINRA Rule 4370. The SEC is accepting comments through July 6 on these proposed rule changes.
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FINRA proposes to adopt certain NASD rules as part of consolidated FINRA rulebook
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