Comment Period Ends: FINRA Rule 3210 replacing NASD 3050
September 4, 2015
The SEC requests comment on a proposal to adopt FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) into the Consolidated FINRA Rulebook and to delete NASD Rule 3050, Incorporated NYSE Rules 407 and 407A and Incorporated NYSE Rule Interpretations 407/01 and 407/02. The proposed rule addresses accounts opened or established by associated persons of members at firms other than the firm with which they are associated.
The SEC requests comment on a proposal to adopt FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) into the Consolidated FINRA Rulebook and to delete NASD Rule 3050, Incorporated NYSE Rules 407 and 407A and Incorporated NYSE Rule Interpretations 407/01 and 407/02. The proposed rule addresses accounts opened or established by associated persons of members at firms other than the firm with which they are associated.
The comment period expires September 4, 2015. See the Federal Register notice.
Details
Organizer