FINRA seeks input on rule consolidation
The Financial Industry Regulatory Authority Inc. of New York and Washington is seeking comment on four proposals that would consolidate NASD and New York Stock Exchange rules in a new Finra rulebook.
The Financial Industry Regulatory Authority Inc. of New York and Washington is seeking comment on four proposals that would consolidate NASD and New York Stock Exchange rules in a new Finra rulebook. The regulations addressed are those governing broker-dealer financial responsibility, supervision and supervisory controls, books and records, and investor education and protection. Comments are due June 13. For details, visit finra.org/PressRoom/NewsReleases/2008NewsReleases/P038499. and click on the links provided for each proposal.
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