As part of its mandate to protect investors and promote market integrity, FINRA enacts rules and publishes guidance in its role as regulator of securities firms and brokers. FINRA involves the securities industry, the Securities and Exchange Commission (SEC) and other regulators, as well as investors, in its rulemaking deliberations.
FINRA is establishing a consolidated FINRA rulebook that will consist solely of FINRA Rules. Until the completion of the rulebook consolidation process, the FINRA rulebook includes NASD Rules and Incorporated NYSE Rules (together referred to as the "Transitional Rulebook"), in addition to the new consolidated FINRA Rules. As the new FINRA Rules are approved and become effective, the rules in the Transitional Rulebook that address the same subject matter of regulation will be eliminated. When the consolidated rulebook is completed, the Transitional Rulebook will have been eliminated in its entirety.
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