FINRA's Move To Harmonize NASD, NYSE Rulebooks

Law360 (June 12, 2008, 12:00 AM EDT) -- On May 14, FINRA announced the first set of consolidated rules as it begins the process of reconciling the NASD and NYSE rulebooks. Since the NASD-NYSE Regulation merger in July 2007, members of both the NASD and NYSE (“dual members”) have been subject to both sets of rules.

Rulebook Harmonization: The Process

Earlier this year, FINRA outlined its process for developing a consolidated rulebook.[1] FINRA indicated that it would propose and adopt consolidated rules in phases, with several “analytical touchstones” to guide its rule review....
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