Proposed Rule Change to Adopt FINRA Rules 2350 Through 2359 (Regarding Trading in Index Warrants, Currency Index
Warrants and Currency Warrants), FINRA Rule 2360 (Options) and FINRA Rule 2370 (Security Futures) in the
Consolidated FINRA Rulebook
Financial Industry Regulatory Authority, Inc. (“FINRA”) (f/k/a National Association of Securities Dealers, Inc. (“NASD”)) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt NASD Rules 2840 through 2853 regarding Trading in Index Warrants, Currency Index Warrants and Currency Warrants, 2860 (Options), and 2865 (Security Futures) as FINRA Rules in the consolidated FINRA rulebook and to delete the corresponding provisions in Incorporated NYSE Rules 414 (Index and Currency Warrants), 424 (Report of Options) and the 700 Series (Option Rules). The proposed rule change would renumber NASD Rules 2840 through 2853 as FINRA Rules 2350 through 2359, NASD Rule 2860 as FINRA Rule 2360 and NASD Rule 2865 as FINRA Rule 2370 in the consolidated FINRA rulebook.
| Title | Format - Size | Status |
|---|---|---|
| Text of Proposed Rule Change | PDF - 215.41 KB | |
| Federal Register Notice | PDF - 71.64 KB | |
| Extension No. 1 | PDF - 23.4 KB | |
| Amendment No. 1 to Proposed Rule Change | PDF - 66.73 KB | |
| Extension No. 2 | PDF - 23.39 KB | |
| Extension No. 3 | PDF - 23.39 KB | |
| Extension No. 4 | PDF - 23.39 KB | |
| Approval Order | PDF - 65.78 KB |