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Effective Date of FINRA Rule 0190

August 24, 2015

FINRA Notice to Members 15-07 noted that  the effective date of Rule 0190 is August 24, 2015.  Rule 0190 is based largely on NASD IM-2420-1(a) (Transactions Between Members and Non-Members; Non-members of the Association) and provides that a member firm will be considered as a non-member of FINRA from the effective date of any order or notice from FINRA or the SEC issuing a revocation, cancellation, expulsion or suspension of its membership. In the case of suspension, a member firm will be automatically reinstated to membership in FINRA at the termination of the suspension period.



August 24, 2015
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