Resources/ Updates

May11

FINRA Rule Conversion Charts ~ for Member-Broker Dealers

Since 2008, FINRA has been working toward a new consolidated rulebook governing its member broker-dealers.  The goal is to “harmonize and streamline existing rules” and consider the “rapidly evolving nature of the securities business and the broad diversity of firms subject to FINRA regulation”.

FINRA maintains and updates three Rule Conversion Charts to illustrate the relationship between new FINRA Rules and the old NASD and/or Incorporated NYSE Rules they replace. While the charts are a good reference tool, firms are encouraged to explore the actual new rule language.

Related Resources

NASD to FINRA Conversion Chart Spreadsheet (Excel 528 KB)

NYSE to FINRA Conversion Chart Spreadsheet (Excel 140 KB)

FINRA to NASD and NYSE Conversion Chart Spreadsheet (Excel 698 KB)

FINRA Rulebook Consolidation Process ~ March 12, 2008

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