2012 Rule Filings

SR-FINRA-2012-025 New   Proposed Rule Change to Adopt FINRA Rule 5270 (Front Running of Block Transactions) in the Consolidated FINRA Rulebook
SR-FINRA-2012-024 New   Proposed Rule Change Relating to FINRA Rule 4210 (Margin Requirements)
SR-FINRA-2012-023 Updated   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 Updated   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 Updated   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 Updated   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)