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FINRA’s Consolidated Supervision Rules and Regulatory Notice 14- 10



by Sutherland Asbill Brennan LLP - Washington Office

April 30, 2014

Previously published on April 23, 2014

On December 23, 2013, the Securities and Exchange Commission (SEC) approved proposed changes to the Financial Industry Regulatory Authority’s (FINRA) supervision rules. On March 19, 2014, FINRA issued Regulatory Notice 14-10, announcing that the consolidated supervision rules (the Consolidated Supervision Rules) approved by the SEC will become effective on December 1, 2014. The Consolidated Supervision Rules will replace existing NASD Rules 3010 and 3012 (the NASD Supervision Rules) in the FINRA Consolidated Rulebook with FINRA Rule 3110 (Supervision) and FINRA Rule 3120 (Supervisory Control System).


 

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