New FINRA Supervision Rules Approved by SEC (Regulatory Notice 14-10)

FINRA issued a regulatory notice regarding the SEC's approval of the new FINRA-consolidated rules governing supervision, which become effective on December 1, 2014.

FINRA Rules 3110, 3120, 3150 and 3170 will replace NASD Rules 3010, 3012 and 3110(i), among other corresponding NYSE rule provisions.

See: FINRA Reg. Notice 14-10; Text of Rule Changes.