2011 Rule Filings

SR-FINRA-2011-075   Proposed Rule Change to Amend Rule 13204 of the Industry Code to Preclude Collective Action Claims From Being Arbitrated Under the Industry Code
SR-FINRA-2011-074   Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
SR-FINRA-2011-073   Proposed Rule Change Relating to Establishing a Governmental Accounting Standards Board Accounting Support Fee
SR-FINRA-2011-072   Proposed Rule Change to Extend a TRACE Pilot Program
SR-FINRA-2011-071   Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities
SR-FINRA-2011-070   Proposed Rule Change to Amend FINRA Rule 4512 (Customer Account Information)
SR-FINRA-2011-069   Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced
SR-FINRA-2011-068   Proposed Rule Change to Amend FINRA Rule 6121.01 (Trading Pauses)
SR-FINRA-2011-067   Proposed Rule Change to Amend the Industry Code of Arbitration Procedure Relating to Whistleblower Claims in Arbitration
SR-FINRA-2011-066   Proposed Rule Change Relating to the Order Audit Trail System Definitions of Index Arbitrage Trade and Program Trade
SR-FINRA-2011-065   Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules
SR-FINRA-2011-064   Proposed Rule Change to Adopt FINRA Rule 4524 (Supplemental FOCUS Information) and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Reports
SR-FINRA-2011-063   Proposed Rule Change Relating to Amendments to the Order Audit Trail System Rules
SR-FINRA-2011-062   Proposed Rule Change to Repeal Incorporated NYSE Rule 2A (Jurisdiction)
SR-FINRA-2011-061   Proposed Rule Change to Expand the Exception Relating to Transfers of Proprietary Securities Positions in Connection with Certain Corporate Control Transactions
SR-FINRA-2011-060   Proposed Rule Change to Amend the Implementation Provision in FINRA Rule 1230(b)(6) (Operations Professional)
SR-FINRA-2011-059   Proposed Rule Change to Adopt FINRA Rule 3230 (Telemarketing) in the Consolidated FINRA Rulebook
SR-FINRA-2011-058   Proposed Rule Change to Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
SR-FINRA-2011-057   Proposed Rule Change to Adopt New FINRA Rule 5123 (Private Placements of Securities)
SR-FINRA-2011-056   Proposed Rule Change to Amend Rule 7730 Regarding TRACE Reporting Fees For Transactions in Agency Pass-Through Mortgage-Backed Securities Traded “To Be Announced”
SR-FINRA-2011-055   Proposed Rule Change Relating to Extension of Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks
SR-FINRA-2011-054   Proposed Rule Change to Update Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and Amend Rule 6440 (Trading and Quotation Halt in OTC Equity Securities)
SR-FINRA-2011-053   Proposed Rule Change to Amend Rule 6730 of the Trade Reporting and Compliance Engine (TRACE) Rules
SR-FINRA-2011-052   Proposed Rule Change to Adopt NASD Rule 2320 (Best Execution and Interpositioning) and IM-2320 as FINRA Rule 5310 in the Consolidated FINRA Rulebook
SR-FINRA-2011-051   Proposed Rule Change Relating to Exemption from Reporting Obligation under Equity Trade Reporting Rules for Certain Alternative Trading Systems
SR-FINRA-2011-050   Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules
SR-FINRA-2011-049   Proposed Rule Change Relating to Aggregation of Activity of Affiliated Members for Purposes of FINRA/Nasdaq TRF Fees and Credits
SR-FINRA-2011-048   Proposed Rule Change to Revise the Series 38 Examination Program
SR-FINRA-2011-047   Proposed Rule Change to Revise the Series 37 Examination Program
SR-FINRA-2011-046   Proposed Rule Change to Revise the Series 17 Examination Program
SR-FINRA-2011-045   Proposed Rule Change to Revise the Series 7 Examination Program
SR-FINRA-2011-044   Proposed Rule Change to Amend FINRA's Code of Procedure
SR-FINRA-2011-043   Proposed Rule Change to Amend FINRA Rule 0160 (Definitions in FINRA By-Laws)
SR-FINRA-2011-042   Proposed Rule Change Relating to Fee for the Operations Professional Examination
SR-FINRA-2011-041   Proposed Rule Change to Adopt the Selection Specifications and Study Outline for the Operations Professional (“Series 99”) Examination Program
SR-FINRA-2011-040   Proposed Rule Change to Amend the Supplementary Material to FINRA Rule 1230(b)(6) (Operations Professional)
SR-FINRA-2011-039   Proposed Rule Change to Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
SR-FINRA-2011-038   Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
SR-FINRA-2011-037   Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
SR-FINRA-2011-036   Proposed Rule Change to Amend FINRA Rule 2360 to Increase the Position Limit for Options on the Standard and Poor’s Depositary Receipts Trust
SR-FINRA-2011-035   Proposed Rule Change to Adopt FINRA Rules Regarding Communications with the Public in the Consolidated FINRA Rulebook
SR-FINRA-2011-034   Proposed Rule Change to Amend FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2011-033   Proposed Rule Change to Adopt FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2011-032   Proposed Rule Change to Implement Revolving Door Restrictions on Former Officers of FINRA
SR-FINRA-2011-031   Proposed Rule Change to Amend FINRA Rule 9251 to Explicitly Protect from Discovery those Documents that Federal Law Prohibits FINRA from Disclosing
SR-FINRA-2011-030   Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules
SR-FINRA-2011-029   Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
SR-FINRA-2011-028   Proposed Rule Change to Adopt the Consolidated FINRA Supervision Rules
SR-FINRA-2011-027   Proposed Rule Change to Amend FINRA Trade Reporting Rules Relating to OTC Transactions in Equity Securities that are Part of a Distribution and to Transfers of Equity Securities to Create or Redeem Instruments such as ADRs and ETFs
SR-FINRA-2011-026   Proposed Rule Change Regarding Cancellation or Rescheduling Fees for Qualification Examinations and Continuing Education Sessions
SR-FINRA-2011-025   Proposed Rule Change to Extend a TRACE Pilot Program
SR-FINRA-2011-024   Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SR-FINRA-2011-023   Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and FINRA Rule 6272 (Character of Quotations) to Include all NMS Stocks
SR-FINRA-2011-021   Proposed Rule Change Relating to Extension of Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks
SR-FINRA-2011-020   Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities
SR-FINRA-2011-019   Proposed Rule Change to Rename the OTC Bulletin Board in the FINRA Rulebook
SR-FINRA-2011-018   Proposed Rule Change to Adopt NASD Rule 2830 as FINRA Rule 2341 (Investment Company Securities) in the Consolidated FINRA Rulebook
SR-FINRA-2011-017   Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions)
SR-FINRA-2011-016   Proposed Rule Change to Delay the Implementation date of FINRA Rule 2090 (Know Your Customer) and FINRA Rule 2111 (Suitability)
SR-FINRA-2011-015   Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
SR-FINRA-2011-014   Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
SR-FINRA-2011-013   Proposed Rule Change to Establish a Registration Category, Qualification Examination and Continuing Education Requirements for Certain Operations Personnel, and Adopt FINRA Rule 1250 (Continuing Education Requirements) in the Consolidated FINRA Rulebook
SR-FINRA-2011-012   Proposed Rule Change to the FINRA Rule 6700 Series and FINRA Rule 7730 (TRACE)
SR-FINRA-2011-011   Proposed Rule Change to Amend the By-Laws of FINRA Regulation, Inc. with Regard to District Committee Structure and Governance
SR-FINRA-2011-009   Proposed Rule Change to Eliminate Duplicative Filings Under FINRA Rule 9610
SR-FINRA-2011-008   Proposed Rule Change Relating to Rule 6450 (Restrictions on Access Fees)
SR-FINRA-2011-007   Proposed Rule Change to Amend the Customer Code to Correct Cross-References to Rules that were Changed by Another Rule Filing
SR-FINRA-2011-006   Proposed Rule Change to Amend the Customer and Industry Codes of Arbitration Procedure Relating to Motion Practice
SR-FINRA-2011-005   Proposed Rule Change to Amend Rule 13806 to Provide for Appointment of Chair-Qualified Public Arbitrators in Promissory Note Disputes
SR-FINRA-2011-004   Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions in Asset-Backed Securities
SR-FINRA-2011-003   Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
SR-FINRA-2011-002   Proposed Rule Change to Extend a TRACE Pilot Program
SR-FINRA-2011-001   Proposed Rule Change to Provide Additional Time to Report Certain Reportable TRACE Transactions and Waive Certain Transaction Reporting Fees