2009 Rule Filings

SR-FINRA-2009-095   Proposed Rule Change to Adopt FINRA Rule 3240 (Borrowing From or Lending to Customers) in the Consolidated FINRA Rulebook
SR-FINRA-2009-094   Proposed Rule Change Relating to Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
SR-FINRA-2009-093   Proposed Rule Change to Repeal NASD Rule 2450, NASD Interpretive Material 2830-2 and Incorporated NYSE Rule 413 as Part of the Process of Developing the Consolidated FINRA Rulebook
SR-FINRA-2009-092   Proposed Rule Change to Extend the Date by Which Eligible Registrants Must Complete a Firm-Element Continuing Education Program to Qualify to Engage in a Security Futures Business
SR-FINRA-2009-090   Proposed Rule Change to Adopt FINRA Rule 5320 (Prohibition Against Trading Ahead of Customer Orders) in the Consolidated FINRA Rulebook
SR-FINRA-2009-089   Proposed Rule Change to Adopt FINRA Rule 6490 Relating to Processing of Company-Related Actions and Implementing Fees for Such Services
SR-FINRA-2009-088   Proposed Rule Change Relating to Waiver and Credit of Certain FINRA/Nasdaq Trade Reporting Facility and OTC Reporting Facility Fees
SR-FINRA-2009-087   Proposed Rule Change to Repeal NASD Rules 2760 and 2780, Incorporated NYSE Rules 2B and 411, and the Interpretation to Incorporated NYSE Rule 411(a)(ii)(5) as Part of the Process of Developing the Consolidated FINRA Rulebook
SR-FINRA-2009-086   Proposed Rule Change to Adopt FINRA Rule 5160 (Disclosure of Price and Concessions in Selling Agreements) in the Consolidated FINRA Rulebook
SR-FINRA-2009-085   Proposed Rule Change Relating to Order Reporting Requirements on the Alternative Display Facility
SR-FINRA-2009-084   Proposed Rule Change to Adopt FINRA Rule 5330 (Adjustment of Orders) in the Consolidated FINRA Rulebook
SR-FINRA-2009-083   Proposed Rule Change to Adopt FINRA Rule 2330 (Members' Responsibilities Regarding Deferred Variable Annuities) in the Consolidated FINRA Rulebook
SR-FINRA-2009-082   Proposed Rule Change Relating to Reporting of Trade Cancellations to FINRA
SR-FINRA-2009-081   Proposed Rule Change to Adopt FINRA Rule 2261 (Disclosure of Financial Condition) in the Consolidated FINRA Rulebook
SR-FINRA-2009-080   Proposed Rule Change to Adopt FINRA Rule 4570 (Custodian of Books and Records) in the Consolidated FINRA Rulebook
SR-FINRA-2009-078   Proposed Rule Change to Update Certain Rule Cross-References and Make Other Non-Substantive Technical Changes to FINRA and NASD Rules
SR-FINRA-2009-077   Proposed Rule Change to Restructure Quotation Collection and Dissemination for OTC Equity Securities
SR-FINRA-2009-076   Proposed Rule Change to Amend the FINRA Rule 9550 Series (Expedited Proceedings)
SR-FINRA-2009-075   Proposed Amendments to Postponement Fee Rule and Hearing Session Fee Rule under the Arbitration Codes
SR-FINRA-2009-074   Proposed Rule Change to Amend FINRA Rule 9251 (Inspection and Copying of Documents in Possession of Staff)
SR-FINRA-2009-073   Proposed Rule Change to Amend Rules 12213 and 13213 of the Customer and Industry Codes to Expand the Criteria for Selecting a Hearing Location for an Arbitration Proceeding
SR-FINRA-2009-072   Proposed Rule Changes to Amend Rules 12307 and 13307 of the Customer and Industry Codes to Clarify the Date of Filing of an Arbitration Claim Once a Deficiency is Corrected
SR-FINRA-2009-071   Proposed Rule Change to Increase the Session Fee for the Regulatory Element of the Continuing Education Requirements Pursuant to FINRA Rules
SR-FINRA-2009-070   Proposed Rule Change to Adopt FINRA Rule 2211 (Communications with the Public About Variable Insurance Products)
SR-FINRA-2009-069   Proposed Rule Change to Impose an Excess Capacity Usage Fee on ADF Trading Centers that Exceed Their Certified Volume Levels Pursuant to a New FINRA ADF Capacity Management Plan
SR-FINRA-2009-068   Proposed Rule Change to Adopt FINRA Rule 11890 Series (Clearly Erroneous Transactions) in the Consolidated FINRA Rulebook
SR-FINRA-2009-067   Proposed Rule Change to Adopt FINRA Rules 2060 (Use of Information Obtained in Fiduciary Capacity) and 5290 (Order Entry and Execution Practices) in the Consolidated FINRA Rulebook
SR-FINRA-2009-066   Proposed Rule Change to Adopt FINRA Rule 2251 (Forwarding of Proxy and Other Issuer-Related Materials) in the Consolidated FINRA Rulebook
SR-FINRA-2009-065   Proposed Rule Change Relating to the Expansion of TRACE to Include Asset-Backed Securities, Mortgage-Backed Securities and Other Similar Securities
SR-FINRA-2009-064   Proposed Rule Change Relating to the Publication of Certain Daily and Monthly Short Sale Data on the FINRA Web Site
SR-FINRA-2009-063   Proposed Rule Change to Extend to November 30, 2010, the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2009-062   Proposed Rule Change to Update Certain Cross-References Within Certain FINRA Rules
SR-FINRA-2009-061   Proposed Rule Change to Require Members to Report OTC Transactions in Equity Securities Within 30 Seconds of Execution
SR-FINRA-2009-060   Proposed Rule Change to Amend FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books)
SR-FINRA-2009-059   Proposed Rule Change to Adopt FINRA Rules 2130 (Approval Procedures for Day-Trading Accounts) and 2270 (Day-Trading Risk Disclosure Statement) in the Consolidated FINRA Rulebook
SR-FINRA-2009-058   Proposed Rule Change to Adopt FINRA Rule 2232 (Customer Confirmations) in the Consolidated FINRA Rulebook
SR-FINRA-2009-057   Proposed Rule Change Relating the FINRA By-Laws to Amend the Personnel Assessment and Gross Income Assessment
SR-FINRA-2009-056   Proposed Rule Change Relating to Fee for Investment Banking Representative Examination
SR-FINRA-2009-055   Proposed Rule Change to Adopt FINRA Rules 5210 (Publication of Transactions and Quotations) and 5220 (Offers at Stated Prices) into the Consolidated Rulebook
SR-FINRA-2009-054   Proposed Rule Change to Adopt FINRA Rules 6434, 6437, 6450 and 6460
SR-FINRA-2009-053   Proposed Rule Change to Amend Incorporated NYSE Rules 12 and 282 to Conform to Amendments Made by NYSE
SR-FINRA-2009-052   Proposed Rule Change to Adopt FINRA Rule 2264 (Margin Disclosure Statement) in the Consolidated FINRA Rulebook
SR-FINRA-2009-051   Proposed Rule Change Relating to the Use of Multiple Market Participant Symbols When Quoting or Trading OTC Equity Securities
SR-FINRA-2009-050   Proposed Rule Change to Amend FINRA Rule 8312 (BrokerCheck Disclosure)
SR-FINRA-2009-049   Proposed Rule Change to Adopt the Selection Specifications and Study Outline for the Limited Representative – Investment Banking (“Series 79”) Examination Program
SR-FINRA-2009-048   Proposed Rule Change to Adopt FINRA Rule 5230 (Payments Involving Publications that Influence the Market Price of a Security) in the Consolidated FINRA Rulebook
SR-FINRA-2009-047   Proposed Rule Change to Adopt FINRA Rule 3160 (Networking Arrangements Between Members and Financial Institutions) in the Consolidated FINRA Rulebook
SR-FINRA-2009-046   Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules
SR-FINRA-2009-045   Proposed Rule Change to Clarify the Application of Transaction-Related Charges for Trade Reporting to the OTC Reporting Facility Pursuant to FINRA Rule 7710
SR-FINRA-2009-044   Proposed Rule Change to Adopt FINRA Rules 2262, 2269 and 5260 in the Consolidated FINRA Rulebook
SR-FINRA-2009-043   Proposed Rule Change Relating to the Application of Transaction-Related Charges for Trade Reporting to the OTC Reporting Facility
SR-FINRA-2009-042   Proposed Rule Change to Adopt FINRA Rule 3270 (Outside Business Activities of Registered Persons) in the Consolidated FINRA Rulebook
SR-FINRA-2009-041   Proposed Rule Change to Amend the Definition of "Associated Person," Streamline a Case Administration Procedure, and Clarify that Customers Could be Assessed Hearing Fees Based on Their Own Claims for Relief in Connection with an Industry Claim
SR-FINRA-2009-040   Proposed Rule Change to Adopt FINRA Rule 2380 to Limit the Leverage Ratio Offered by Broker-Dealers for Certain Forex Transactions
SR-FINRA-2009-039   Proposed Rule Change to Adopt FINRA Rule 3310 Anti-Money Laundering Compliance Program in the Consolidated FINRA Rulebook
SR-FINRA-2009-038   Proposed Rule Change to Repeal Incorporated NYSE Rules 134 and 440I as Part of the Process to Develop the Consolidated FINRA Rulebook
SR-FINRA-2009-037   Proposed Rule Change to Amend NASD IM-2110-2 (Trading Ahead of Customer Limit Order)
SR-FINRA-2009-036   Proposed Rule Change to Adopt FINRA Rules 2124 (Net Transactions with Customers), 2220 (Options Communications), 4370 (Business Continuity Plans and Emergency Contact Information) and 5250 (Payments for Market Making) in the Consolidated FINRA Rulebook
SR-FINRA-2009-035   Proposed Rule Change to Adopt FINRA’s Temporary and Permanent Cease and Desist Authority Pilot Program on a Permanent Basis
SR-FINRA-2009-034   Proposed Rule Change to Extend FINRA’s Authority Under the Cease and Desist Pilot Program
SR-FINRA-2009-033   Proposed Rule Change to Amend Rule Cross-References in FINRA Rules
SR-FINRA-2009-032   Proposed Rule Change Relating to Amendments to FINRA Rule 2360 Regarding Position Limits for Options on Exchange-traded Funds and Registration Qualifications with Respect to Options Discretionary Accounts
SR-FINRA-2009-031   Proposed Rule Change Relating to the Reporting of Over-the-Counter Transactions in Equity Securities Executed Outside Normal Market Hours
SR-FINRA-2009-030   Proposed Rule Change to Amend Rule 6440 to Require Members to Create a Contemporaneous Record of Certain Customer and Order Information
SR-FINRA-2009-029   Proposed Rule Change to Amend FINRA Rule 8312 (BrokerCheck Disclosure)
SR-FINRA-2009-028   Proposed Rule Change to Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook
SR-FINRA-2009-027   Proposed Rule Change to Make Non-Substantive, Technical Changes to FINRA Trade Reporting Rules Upon Implementation of SR-FINRA-2008-011
SR-FINRA-2009-026   Proposal to Amend Various Rules of the Customer Code and Industry Code to Correct Typographical Errors and Implement Other Non-Substantive Technical Changes
SR-FINRA-2009-025   Proposed Rule Change to Amend Incorporated NYSE Rules 2, 2A and 325 to Conform to Amendments Made by NYSE
SR-FINRA-2009-024   Proposed Rule Change Relating to Trade Reporting Transfers of Proprietary Securities Positions in Connection with Certain Corporate Control Transactions
SR-FINRA-2009-023   Proposed Rule Filing to Adopt FINRA Rule 2320 (Variable Contracts of an Insurance Company) in the Consolidated FINRA Rulebook
SR-FINRA-2009-022   Proposed Rule Change Relating to FINRA's Regulatory Notice on the FINRA Rule 9520 Series (Eligibility Proceedings)
SR-FINRA-2009-021   Proposed Rule Change to Codify the Extended Hours Trading Risk Disclosure Obligation as New FINRA Rule 2265
SR-FINRA-2009-020   Proposed Rule Change Relating to the FINRA Regulation Board Composition and Conforming Changes to the FINRA Regulation By-Laws
SR-FINRA-2009-019   Proposed Rule Change to Adopt FINRA Rules 1010 (Requirements for Uniform Forms) and 2263 (Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4) in the Consolidated FINRA Rulebook
SR-FINRA-2009-018   Proposed Rule Change to Adopt FINRA Rule 2342 ("Breakpoint" Sales) in the Consolidated FINRA Rulebook
SR-FINRA-2009-017   Proposed Rule Change to Adopt FINRA Rule 3250 (Designation of Accounts) in the Consolidated FINRA Rulebook
SR-FINRA-2009-016   Proposed Rule Change Relating to the Adoption of FINRA Rule 2080, FINRA Rule 2310, FINRA Rule 4551, and FINRA Rule 2266 in the Consolidated FINRA Rulebook
SR-FINRA-2009-015   Proposed Rule Change to Adopt Rule 13806 of the Code of Arbitration Procedure for Industry Disputes to Establish Procedures to Expedite the Administration of Promissory Note Cases
SR-FINRA-2009-014   Proposed Rule Change to Adopt FINRA Rule 2150 (Improper Use of Customers' Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts) in the Consolidated FINRA Rule Book
SR-FINRA-2009-013   Proposed Rule Change to Amend Rules 12206 and 13206 of the Customer and Industry Codes
SR-FINRA-2009-012   Proposed Rule Change Relating to Margin Requirements for Certain Transactions in Credit Default Swaps
SR-FINRA-2009-011   Proposed Rule Change to Amend the Industry Code to Change the Criteria for Determining the Panel Composition When the Claim Involves an Associated Person in Industry Disputes
SR-FINRA-2009-010   Proposed Rule Change Relating to the Expansion of TRACE to Include Agency Debt Securities and Primary Market Transactions
SR-FINRA-2009-009   Proposed Rule Change to Adopt FINRA Rule 1122 (Filing of Misleading Information as to Membership or Registration) in the Consolidated FINRA Rulebook
SR-FINRA-2009-008   Proposed Rule Change to Amend Form U4, Form U5 and FINRA Rule 8312
SR-FINRA-2009-007   Proposed Rule Change to Amend Incorporated NYSE Rules 12 and 282 and Delete Incorporated NYSE Rule 177 to Conform with Amendments by the NYSE to its Versions of Rules 12, 177 and 282
SR-FINRA-2009-006   Proposed Rule Change Relating to a New Limited Representative Registration Category for Investment Banking Professionals
SR-FINRA-2009-005   Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules
SR-FINRA-2009-004   Proposed Rule Change To Amend Definition of TRACE-Eligible Security to Include Securities Eligible for Public Sale and Additional Securities That Are Restricted Securities
SR-FINRA-2009-003   Proposed Rule Change to Amend the Customer and Industry Codes
SR-FINRA-2009-002   Proposed Rule Change to Make Conforming Changes to FINRA Rules 6380B and 6730
SR-FINRA-2009-001   Proposed Rule Change to Amend FINRA Rule 7470