2012 Rule Filings

SR-FINRA-2012-056   Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2012-055   Proposed Rule Change To Extend the Date by Which Eligible Registrants Must Complete a Firm-Element Continuing Education Program To Qualify To Engage in a Security Futures Business
SR-FINRA-2012-054   Proposed Rule Change to Amend FINRA Rule 9120 (Definitions) to Add the Term "Chief Legal Officer" to the Definition of "General Counsel"
SR-FINRA-2012-053   Proposed Rule Change Relating to Establishing Optional TRACE Data Delivery Services and Related Fees
SR-FINRA-2012-052   Proposed Rule Change to Require Members to Report the Factor to TRACE in Asset-Backed Security Transactions (except if traded TBA), in the Limited Instances When Members Effect Such Transactions as Agent and Charge a Commission
SR-FINRA-2012-051   Proposed Rule Change Relating to the Waiver of Certain TRACE Late Trade Reporting Fees Due to Hurricane Sandy
SR-FINRA-2012-050   Proposed Rule Change to Adopt a Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
SR-FINRA-2012-049   Proposed Rule Change to Amend FINRA Rule 7730(c) to establish a Limited Waiver of the TRACE Professional Real-Time Data Display Fee on a Pilot Basis
SR-FINRA-2012-048   Proposed Rule Change to Repeal the Changes Described in SR-FINRA-2011-019
SR-FINRA-2012-047   Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4)
SR-FINRA-2012-046   Proposed Rule Change to Amend the Definition of "Money Market Instrument" in FINRA Rule 6710(o)
SR-FINRA-2012-045   Proposed Rule Change to Amend NASD Rule 2711 to Conform with the Requirements of the Jumpstart Our Business Startups Act and Related Changes
SR-FINRA-2012-044   Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions in Security Futures
SR-FINRA-2012-043   Proposed Rule Change to Delete FINRA Rule 7640A (Late Fees)
SR-FINRA-2012-042   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-2012-041   Proposed Rule Change to Amend FINRA's Customer and Industry Codes Of Arbitration Procedure Relating to Subpoenas and to Arbitrator Authority to Direct Appearances of Associated Person Witnesses and Production Of Documents Without Subpoenas
SR-FINRA-2012-040   Proposed Rule Change to Amend FINRA Dispute Resolution’s By-Laws to Clarify That Services Provided by Mediators Should Not Cause Them to Be Classified as Industry Members under the By-Laws
SR-FINRA-2012-039   Proposed Rule Change to Amend FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees)
SR-FINRA-2012-038   Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
SR-FINRA-2012-037   Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
SR-FINRA-2012-036   Proposed Rule Change Regarding the Implementation Date for Amendments to NASD Rules 1012 and 1017 in SR-FINRA-2012-018
SR-FINRA-2012-035   Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2012-034   Proposed Rule Change to Amend TRACE Reporting Rules Relating to Transfers of TRACE-Eligible Securities to Create or Redeem Instruments Such as an ETF
SR-FINRA-2012-033   Proposed Rule Change to Make Non-Substantive Technical Changes to the Supplemental Statement of Income Required to be Filed Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
SR-FINRA-2012-032   Proposed Rule Change to Modify Fees and Transaction Credits Applicable to Members That Use the FINRA/NYSE Trade Reporting
SR-FINRA-2012-031   Proposed Rule Change to Amend Section 4 of Schedule A to the FINRA By-Laws to Increase the Branch Office Annual Registration and New Member Application Fees and Assess a New Continuing Membership Application Fee
SR-FINRA-2012-030   Proposed Rule Change to Amend Sections 4 and 6 of Schedule A to the FINRA By-Laws Regarding Fees Relating to the Central Registration Depository
SR-FINRA-2012-029   Proposed Rule Change Relating to FINRA’s Fees for Filing Documents Pursuant to FINRA Rule 5110
SR-FINRA-2012-028   Proposed Rule Change to Adjust Fees for Review of Advertising Material Filed with FINRA
SR-FINRA-2012-027   Proposed Rule Change to Update Cross-References Within Certain FINRA Rules and to Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules
SR-FINRA-2012-026   Proposed Rule Change Relating to the Handling of Stop and Stop Limit Orders
SR-FINRA-2012-025   Proposed Rule Change to Adopt FINRA Rule 5270 (Front Running of Block Transactions) in the Consolidated FINRA Rulebook
SR-FINRA-2012-024   Proposed Rule Change Relating to FINRA Rule 4210 (Margin Requirements)
SR-FINRA-2012-023   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   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   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   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-2012-010   Proposed Amendments to FINRA Rule 6440 (Trading and Quotation Halt in OTC Equity Securities)
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)