• FINRA Consolidated Rule Proposals Address Financial Responsibility Rules
  • June 19, 2008 | Authors: Edward J. Johnsen; Robert A. Boresta; Jeffrey H. Elkin; Wesley G. Nissen
  • Law Firms: Winston & Strawn LLP - Chicago Office ; Winston & Strawn LLP - New York Office ; Winston & Strawn LLP - Chicago Office
  • On May 14, the Financial Industry Regulatory Authority ("FINRA") requested comments on four sets of proposed rules, which are part of the ongoing process to integrate current NASD and NYSE rules into a new Consolidated FINRA Rulebook.