Proposed Rule Change to Adopt FINRA Rule 4560 (Short-Interest Reporting) 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 the short interest reporting requirements (NASD Rule 3360 and Incorporated NYSE Rules 421(1) and 421.10) as FINRA Rule 4560 in the consolidated FINRA rulebook.
Title | Format - Size | Status |
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Text of Proposed Rule Change | PDF - 76.77 KB | |
Amendment No. 1 to Proposed Rule Change | PDF - 76.73 KB | |
Federal Register Notice | PDF - 59.81 KB | |
Approval Order | PDF - 56.35 KB |