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6630. Applicability of FINRA Rules to Securities Previously Designated as PORTAL Securities

(a) The following are specifically applicable to transactions and business activities relating to securities that, prior to October 26, 2009, had been designated by The Nasdaq Stock Market LLC for inclusion in the PORTAL Market ("PORTAL securities"):
(1) FINRA Rules 0130, 0140, 2010, 2020, 2111, 2121, 2232, 2251, 2261, 2262, 2269, 5310, 8210;
(2) the Rule 8100 and 8300 Series; and
(3) FINRA Rules 0190, 5210, 5220, and Supplementary Material to Rule 2121.
(b) The following are specifically applicable to transactions and business activities relating to PORTAL securities, with the exceptions specified below:
(1) FINRA Rule 2150 and 4330; and
(2) Rule 4510 Series.
(c) The following are applicable to members and persons associated with members regardless of whether the member participates in transactions in PORTAL securities:
(1) FINRA Rules 0110, 0120, and 0160.
(2) NASD Rule 3140 and FINRA Rules 2210, 3210, 3220, 3270, 3280, 4120, 4360, and 5260.
(d) The following are not applicable to transactions and business activities relating to PORTAL securities:
(1) FINRA Rules 2310, 2320, 2341, 2360, 4210, 4320, 4560, 5110, 5130, and 5141.
Amended by SR-FINRA-2017-004 eff. April 3, 2017.
Amended by SR-FINRA-2016-026 eff. July 9, 2016.
Amended by SR-FINRA-2015-030 eff. Sept. 21, 2015.
Amended by SR-FINRA-2015-027 eff. Aug. 24, 2015.
Amended by SR-FINRA-2014-023 eff. May 9, 2014.
Amended by SR-FINRA-2014-016 eff. May 1, 2014.
Amended by SR-FINRA-2013-001 eff. Feb. 4, 2013.
Amended by SR-FINRA-2012-027 eff. July 9, 2012.
Amended by SR-FINRA-2011-052 eff. May 31, 2012.
Amended by SR-FINRA-2012-007 eff. Feb. 21, 2012.
Amended by SR-FINRA-2011-065 eff. Jan. 1, 2012.
Amended by SR-FINRA-2011-065 eff. Dec. 5, 2011.
Amended by SR-FINRA-2011-024 eff. June 17, 2011.
Amended by SR-FINRA-2010-060 eff. Feb. 8, 2011.
Amended by SR-FINRA-2010-060 eff. Dec. 15, 2010.
Amended by SR-FINRA-2010-047 eff. Oct. 15, 2010.
Amended by SR-FINRA-2010-003 eff. June 28, 2010.
Amended by SR-FINRA-2010-023 eff. June 14, 2010.
Amended by SR-FINRA-2010-002 eff. Feb. 15, 2010.
Amended by SR-FINRA-2010-002 eff. Feb. 8, 2010.
Amended by SR-FINRA-2009-078 eff. Dec. 14, 2009.
Amended by SR-FINRA-2009-062 eff. Oct. 19, 2009.
Amended by SR-FINRA-2007-024 eff. Sep. 8, 2009.
Amended by SR-FINRA-2009-046 eff. Aug. 17, 2009.
Amended by SR-FINRA-2009-005 eff. Feb. 17, 2009.
Amended by SR-FINRA-2008-057 eff. Dec. 15, 2008.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Renumbered from Rule 5350 and amended by SR-NASD-2005-087 eff. Aug. 1, 2006.
Amended by SR-NASD-99-60 eff. March 23, 2004.
Amended by SR-NASD-99-66 eff. March 6, 2001.

Selected Notices: 08-57, 10-26, 12-13.

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