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FINRA Files Series of Consolidated Rules

By Mark H. Astarita, Esq.

FINRA has been undertaking the daunting task of combining the rules of the NASD and the NYSE, since the merger of the regulatory functions of the NASD and the NYSE last July. FINRA has said that as new rules are written and approved those rules will become part of the FINRA Consolidated Rulebook, and the NASD and NYSE version of the rule will be deleted from their respective rulebooks.And the process has started. FINRA has published some of the proposed rules, prior to submitting the proposals to the SEC for approval. The proposed rules all their own comment period, but all of the comment periods expire on June 13, 2008.The filings are voluminous - it appears to be well over 500 pages of filings.Here are the rules that are being filed, and links to the filings:Regulatory Notice 08-23 - Proposed Consolidated FINRA Rules Governing Financial Responsibility...continue to full post

Full post as published by SECLaw.com on May 27, 2008 (boomark / email).