Application of Rules to Security-Based Swaps

(a) The Rules shall not apply to members' activities and positions with respect to security-based swaps, except for the following:

(1) FINRA Rule 2010;

(2) FINRA Rule 2020;

(3) FINRA Rule 3310; and

(4) FINRA Rule 4240.

(b) The following Rules shall apply to members' activities and positions with respect to security-based swaps only to the extent they would have applied as of July 15, 2011:

(1) NASD Rule 3110 and all successor FINRA Rules to such NASD Rule;

(2) the FINRA Rule 4500 Series; and

(3) the FINRA Rule 4100 Series.

(c) The following Rules shall apply as necessary to effectuate members' compliance with paragraphs (a) and (b) of this Rule:

(1) the FINRA Rule 0100 Series;

(2) the NASD Rule 1000 Series and all successor FINRA Rules to such NASD Rule Series;

(3) the FINRA Rule 1000 and 1100 Series;

(4) NASD Rules 3010 and 3012 and IM-3010-1 and all successor FINRA Rules to such NASD Rules and Interpretive Material;

(5) FINRA Rule 3130;

(6) the FINRA Rule 8000 Series; and

(7) the FINRA Rule 9000 Series.

(d) This Rule shall expire on February 12, 2020.

• • • Supplementary Material: --------------

.01 Definition of Security-Based Swaps. For purposes of this Rule, "security-based swap" shall be as defined pursuant to Exchange Act Section 3(a)(68) and the rules and guidance of the SEC or its staff.

Amended by SR-FINRA-2019-001 eff. Feb. 12, 2019.
Amended by SR-FINRA-2018-001 eff. Feb. 12, 2018.
Amended by SR-FINRA-2017-001 eff. Feb. 11, 2017.
Amended by SR-FINRA-2016-001 eff. Feb. 11, 2016.
Amended by SR-FINRA-2015-001 eff. Feb. 11, 2015.
Amended by SR-FINRA-2014-001 eff. Feb. 11, 2014.
Amended by SR-FINRA-2013-019 eff. July 17, 2013.
Amended by SR-FINRA-2012-056 eff. Dec. 12, 2012.
Amended by SR-FINRA-2012-004 eff. Jan. 13, 2012.
Adopted by SR-FINRA-2011-033 eff. July 8, 2011.