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 |