*Letters

FINRA Rule 3210

Published on:
September 3, 2015

SIFMA provides comments to the Securities and Exchange Commission (SEC) on the Financial Industry Regulatory Authority’s (FINRA) proposal to adopt a new, consolidated rule addressing accounts opened or established by associated persons of members at financial institutions other than the firm with which they are associated. FINRA proposes to adopt new FINRA Rule 3210 and to delete NASD Rule 3050, Incorporated NYSE Rules 407 and 407A and Incorporated NYSE Rule Interpretations 407/01 and 407/02.

See also:

Regulatory Notice 09-22

Filing by Financial Industry Regulatory Authority

Details

Download

More Content

  • Letters
    Mar 30, 2026

    Automated Market Makers and the Consistent Application of Securities Market Regulations

    SIFMA comments to the SEC Crypto Task Force highlight key AMM considerations for tokenized securities and the need for tech-neutral safeguards.
  • Letters
    Mar 27, 2026

    Protecting New York’s Economy: Coalition Urges Rejection of FY27 Tax Increase Package

    Coalition urges rejecting FY2027 tax hikes, warning they would raise costs, hurt competitiveness, and weaken New York’s economy.
  • Amicus Briefs
    Mar 25, 2026

    Optimum Communications v. Apollo, et al.

Get the latest trends, stats, and research on financial markets and securities.