2010 Rule Filings

SR-FINRA-2010-068   Proposed Rule Change to Modify FINRA/Nasdaq Trade Reporting Securities Transaction Credit
SR-FINRA-2010-067   Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions in Asset-Backed Securities
SR-FINRA-2010-066   Proposed Rule Change to Update a Cross-Reference in FINRA Rule 2232 (Customer Confirmations)
SR-FINRA-2010-065   Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
SR-FINRA-2010-064   Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
SR-FINRA-2010-063   Proposed Rule Change to Extend to July 16, 2011, the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2010-062   Proposed Rule Change to Extend the Proposed Implementation Period for the Rule Changes Approved in SR-FINRA-2010-042
SR-FINRA-2010-061   Proposed Rule Change to Adopt Rules Governing Guarantees, Carrying Agreements, Security Counts and Supervision of General Ledger Accounts in the Consolidated FINRA Rulebook
SR-FINRA-2010-060   Proposed Rule Change to Update Certain Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SR-FINRA-2010-059   Proposed Rule Change to Adopt FINRA Rule 4360 (Fidelity Bonds) in the Consolidated FINRA Rulebook
SR-FINRA-2010-058   Proposed Rule Change to Delay the Effective Date of the Changes to the FINRA Trade Reporting and Order Audit Trail System Rules Approved in SR-FINRA-2010-043
SR-FINRA-2010-057   Proposed Rule Change to Permit a One-Time Waiver of Late Fees Assessable Pursuant to FINRA Rule 6490
SR-FINRA-2010-056   Proposed Rule Change to Adopt FINRA Rule 1113 (Restriction Pertaining to New Member Applications) and to Amend the FINRA Rule 9520 Series (Eligibility Proceedings)
SR-FINRA-2010-055   Proposed Rule Change to Amend FINRA Rule 6140 (Other Trading Practices)
SR-FINRA-2010-054   Proposed Rule Change to Extend the Period in Which to Make Rule Changes in SR-FINRA-2009-065 Effective
SR-FINRA-2010-053   Proposed Rule Change to Amend the Panel Composition Rule, and Related Rules, of the Code Of Arbitration Procedure for Customer Disputes (“Customer Code”), to Provide Customers With the Option to Choose an All Public Arbitration Panel In All Cases
SR-FINRA-2010-052   Proposed Rule Change to Adopt FINRA Rules Regarding Books and Records in the Consolidated FINRA Rulebook
SR-FINRA-2010-051   Proposed Rule Change to Reconcile Certain Amendments Approved Pursuant to SR-FINRA-2009-061 and SR-FINRA-2010-003
SR-FINRA-2010-050   The Proposed Rule Change Amends the Codes of Arbitration Procedure to Update the Rules Relating to Online Filing of Arbitration Claims
SR-FINRA-2010-049   Proposed Rule Change Relating to Quotation Requirements on the Alternative Display Facility
SR-FINRA-2010-048   Proposed Rule Change Relating to FINRA Trade Reporting Notice on Price Validation and Price-Override Protocol
SR-FINRA-2010-047   Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SR-FINRA-2010-046   Proposed Rule Change Relating to Exemptions from the Trading Activity Fee
SR-FINRA-2010-045   Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement
SR-FINRA-2010-044   Proposed Rule Change Relating to the Expansion of the Order Audit Trail System to All NMS Stocks
SR-FINRA-2010-043   Proposed Rule Change to Reinstitute Short Exempt Marking for Trade Reporting and OATS
SR-FINRA-2010-042   Proposed Rule Change to Adopt FINRA Rule 4160 (Verification of Assets)
SR-FINRA-2010-041   Proposed Rule Change to Amend FINRA Rule 2360 (Options) to Extend the Time to Submit Contrary Exercise Advice and the Time for a Final Exercise Decision in the Event of a Modified Close of Trading
SR-FINRA-2010-040   Proposed Rule Change to Adopt FINRA Rule 4160 (Verification of Assets Held at a Financial Institution)
SR-FINRA-2010-039   Proposed Rule Change to Adopt FINRA Rules 2090 (Know Your Customer) and 2111 (Suitability) in the Consolidated FINRA Rulebook
SR-FINRA-2010-038   Proposed Rule Change Relating to a Stated Interpretation of the Meaning, Administration, and Enforcement of FINRA Rule 11892 and Supplementary Material .01
SR-FINRA-2010-037   Proposed Rule Change to Amend FINRA Rule 5190 (Notification Requirements for Offering Participants)
SR-FINRA-2010-036   Proposed Rule Change to Amend the Arbitration Codes to Permit Arbitrators to Make Referrals During an Arbitration Proceeding
SR-FINRA-2010-035   Proposed Rule Change to Amend the Discovery Guide and to Make Other Conforming Changes to Rules in the Arbitration Codes
SR-FINRA-2010-034   Proposed Rule Change to Adopt FINRA Rule 4530 (Reporting Requirements) in the Consolidated FINRA Rulebook
SR-FINRA-2010-033   Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) to Add Securities to the Pilot Rule
SR-FINRA-2010-032   Proposed Rule Change to Amend FINRA Rule 11892 Regarding Clearly Erroneous Transactions in Exchange-Listed Securities
SR-FINRA-2010-031   Proposed Rule Change to Amend Online Form NMA, the Standardized Membership Application Form Applicants Must File Pursuant to NASD Rule 1013 (New Member Application and Interview) as Part of their New Membership Application
SR-FINRA-2010-030   Proposed Rule Change to Adopt FINRA Rule 11000 Series (Uniform Practice Code) in the Consolidated FINRA Rulebook
SR-FINRA-2010-029   Proposed Rule Change to Adopt FINRA Rule 5141 (Sale of Securities in a Fixed Price Offering) in the Consolidated FINRA Rulebook
SR-FINRA-2010-028   Proposed Rule Change to Adopt FINRA Rule 4320 (Short Sale Delivery Requirements) in the Consolidated FINRA Rulebook
SR-FINRA-2010-027   Proposed Rule Change Relating to the Restated Certificate of Incorporation of Financial Industry Regulatory Authority, Inc.
SR-FINRA-2010-026   Proposed Rule Change to Adopt FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest) in the Consolidated FINRA Rulebook
SR-FINRA-2010-025   Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility)
SR-FINRA-2010-024   Proposed Rule Change to Adopt FINRA Rules 4210, 4220 and 4230 in the Consolidated FINRA Rulebook
SR-FINRA-2010-023   Proposed Rule Change to Update Certain Cross-References and Make a Non-Substantive Technical Change to a FINRA Rule
SR-FINRA-2010-022   Proposed Rule Change to Amend Rules 12403 and 12404 of the Customer Code of Arbitration Procedure and Rules 13403 and 13404 of the Industry Code of Arbitration Procedure
SR-FINRA-2010-021   Proposed Rule Change to Amend FINRA Rule 8210 to Require Encryption of Information Provided via Portable Media Device
SR-FINRA-2010-020   Proposed Rule Change Relating to the Trade Reporting Facility Limited Liability Company Agreements
SR-FINRA-2010-019   Proposed Rule Change to Extend the Implementation Period for the Rule Changes Approved in SR-FINRA-2009-065
SR-FINRA-2010-018   Proposed Rule Change to Adopt NASD Rule 2212 (Telemarketing) as FINRA Rule 3230 in the Consolidated FINRA Rulebook
SR-FINRA-2010-017   Proposed Rule Change to Allow FINRA Members to Use the OTC Reporting Facility to Transfer Transaction Fees Charged by One Member to Another Member
SR-FINRA-2010-016   Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws
SR-FINRA-2010-015   Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws
SR-FINRA-2010-014   Proposed Rule Change Relating to FINRA Rule 9554 to Eliminate Explicitly the Inability-to-Pay Defense in the Expedited Proceedings Context
SR-FINRA-2010-013   Proposed Rule Change to Modify FINRA/Nasdaq Trade Reporting Securities Transaction Credit
SR-FINRA-2010-012   Proposed Rule Change to Amend FINRA Rule 8312 (BrokerCheck Disclosure)
SR-FINRA-2010-011   Proposed Rule Change to Modify Certain FINRA/Nasdaq Trade Reporting Facility Fees
SR-FINRA-2010-010   Proposed Rule Change to Update a Cross-Reference within FINRA Rule 0150
SR-FINRA-2010-009   Proposed Rule Change to Provide Additional Relief Relating to Certain FINRA/Nasdaq Trade Reporting Facility and OTC Reporting Facility Fees
SR-FINRA-2010-008   Proposed Rule Change to Amend Incorporated NYSE Rule 312(g)(1)
SR-FINRA-2010-007   Proposed Rule Change to Amend the By-Laws of FINRA Dispute Resolution
SR-FINRA-2010-006   Proposed Rule Change to Amend Rules 12602 and 13602 of the Customer and Industry Codes to Provide for Attorney Representation of Non-Party Witnesses in Arbitration
SR-FINRA-2010-005   Proposed Rule Change to Repeal Incorporated NYSE Rule 405(4) Common Sales Accounts
SR-FINRA-2010-004   Proposed Rule Change to Make Non-Substantive Technical Changes to FINRA Rule 4521
SR-FINRA-2010-003   Proposed Rule Change Relating to Trade Reporting of OTC Equity Securities and Restricted Equity Securities
SR-FINRA-2010-002   Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules
SR-FINRA-2010-001   Proposed Rule Change Relating to Publication of Certain Aggregate Daily Trading Volume Data