Approval of FINRA Rules Governing Carrying Agreements, Security Counts and Supervision of General Ledger Accounts

SEC Release 34-63999 (SR-FINRA-2010-061)

March 1, 2011

The SEC granted approval to a FINRA proposal to adopt new FINRA rules governing guarantees, carrying agreements, security counts, and supervision of general ledger accounts. The new rules are based primarily upon NASD Rule 3230 and NYSE Rules 322, 382, 440.10 and 440.20.

Cross References

SEC Release 34-63375 (proposal)

FINRA Rules 4150, 4311, 4522, 4523

NASD Rule 3230

NYSE Rules 322, 382, 440.10, 440.20, 382/01-05, 409(a)/01, 440.20/01