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Re: Stock post# 75013

Friday, 10/15/2010 3:48:54 PM

Friday, October 15, 2010 3:48:54 PM

Post# of 111214
footnote clarifies in the related FINRA NTM

Notwithstanding the SEC's adoption of Rule 204, the provisions of NASD Rule 3210 continue to be necessary to provide regulatory coverage for fails to deliver in non-reporting over-the-counter equity securities that pre-exist the SEC's implementation of temporary Rule 204 in September 2008. Thus, FINRA has adopted NASD Rule 3210 with minor changes as FINRA Rule 4320.