Firm Memoranda

FINRA Proposes Amended Rule Change to Modernize and Simplify NASD Rule 2720

Date: 05/14/09

In an amended proposal dated May 1, 2009, the Financial Industry Regulatory Authority, Inc. ("FINRA") filed with the Securities and Exchange Commission (the "SEC") a proposed rule change to modernize and simplify NASD Rule 2720 (Distributions of Securities of Members and Affiliates - Conflicts of Interest) and make corresponding changes to FINRA Rule 5110 (Corporate Financing Rule).

FINRA Proposes Amended Rule Change to Modernize and Simplify NASD Rule 2720.pdf (pdf | 143.28 KB )