Proposed Rule Filing to Adopt FINRA Rule 2320 (Variable Contracts of an Insurance Company) 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 Rule 2820 (Variable Contracts of an Insurance Company) as a FINRA rule in the consolidated FINRA rulebook with minor changes. The proposed rule change would renumber NASD Rule 2820 as FINRA Rule 2320 in the consolidated FINRA rulebook.
Title | Format - Size | Status |
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Text of Proposed Rule Change | PDF - 77.36 KB | |
Federal Register Notice | PDF - 60.46 KB | |
Extension No. 1 | PDF - 19.43 KB | |
Response to Comments | PDF - 553.9 KB | |
Approval Order | PDF - 60.71 KB |