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