2012 Rule Filings
SR-FINRA-2012-025
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Proposed Rule Change to Adopt FINRA Rule 5270 (Front Running of Block Transactions) in the Consolidated FINRA Rulebook | |
SR-FINRA-2012-024
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Proposed Rule Change Relating to FINRA Rule 4210 (Margin Requirements) | |
SR-FINRA-2012-023
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Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities | |
| SR-FINRA-2012-021 | Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA-Backed ABS Transactions | |
| SR-FINRA-2012-020 | Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced | |
| SR-FINRA-2012-019 | Proposed Rule Change to Amend FINRA Rule 9313 to Conform to FINRA Rule 9136 Regarding the Authority of Counsel to the National Adjudicatory Council | |
SR-FINRA-2012-018
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Proposed Rule Change to Amend NASD Rules 1012 (General Provisions) and 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) to Adopt New Standardized Electronic Form CMA | |
| SR-FINRA-2012-017 | 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) | |
| SR-FINRA-2012-016 | Proposed Rule Change Relating to Exemption from Reporting Obligation under Trade Reporting and Compliance Engine (“TRACE”) Trade Reporting Rules for Certain Alternative Trading Systems | |
| SR-FINRA-2012-015 | Proposed Rule Change to Amend FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) | |
| SR-FINRA-2012-014 | Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) | |
SR-FINRA-2012-012
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Proposed Rule Change to Amend FINRA's Customer and Industry Codes of Arbitration Procedure to Raise the Limit for Simplified Arbitration from $25,000 to $50,000 | |
SR-FINRA-2012-011
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Proposed Rule Change to Amend FINRA's Mediation Code to Provide the Director of Mediation with the Discretion to Determine Whether Parties May Select a Mediator Who Is Not on FINRA's Mediator Roster | |
| SR-FINRA-2012-009 | Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Increase Qualification Examination Fees and Assess a Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States | |
| SR-FINRA-2012-008 | Proposed Rule Change Relating to the Implementation Date for Amendments to the Trading Activity Fee Rate for Transactions in Covered Equity Securities. | |
| SR-FINRA-2012-007 | Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules. | |
| SR-FINRA-2012-006 | Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot | |
| SR-FINRA-2012-005 | Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions | |
| SR-FINRA-2012-004 | Proposed Rule Change to Extend the Implementation of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) | |
| SR-FINRA-2012-003 | Proposed Rule Change to Delay the Implementation Date of SR-FINRA-2011-019 | |
| SR-FINRA-2012-001 | Proposed Rule Change to Amend FINRA Rule 4560 (Short-Interest Reporting) |