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®: CRE Regulatory Action of the Week

SEC Seeks Comment on Proposed SEC Rule Changes
The Securities and Exchange Commission proposes to amend several NASDAQ rules to reflect changes to rules of the Financial Industry Regulatory Authority. Many of NASDAQ's rules governing member conduct are based on rules of FINRA. During 2008, FINRA embarked on an extended process of moving rules into a consolidated FINRA rulebook. In most cases, FINRA has renumbered these rules, and in some cases has substantively amended them. NASDAQ has also been undertaking a process of modifying its rulebook to ensure that NASDAQ rules corresponding to FINRA rules continue to mirror them as closely as practicable. Comments on the proposed rules should be submitted to the SEC on or before November 30, 2012.

  • Click here to read SEC's notice of proposed rule change