• Ten Items to Consider as FINRA’s Consolidated Supervision Rules Take Effect
  • December 12, 2014 | Authors: Peter J. Anderson; Eric A. Arnold; Keith J. Barnett; Bruce M. Bettigole; Patricia A. Gorham
  • Law Firms: Sutherland Asbill & Brennan LLP - Atlanta Office ; Sutherland Asbill & Brennan LLP - Washington Office ; Sutherland Asbill & Brennan LLP - Atlanta Office ; Sutherland Asbill & Brennan LLP - Washington Office ; Sutherland Asbill & Brennan LLP - Atlanta Office
  • On December 1, 2014, the Financial Industry Regulatory Authority‚Äôs (FINRA) Consolidated Supervision Rules will take effect. The Consolidated Supervision Rules, which were approved by the U.S. Securities and Exchange Commission (SEC) on December 23, 2013, 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).