2013 Rule Filings

SR-FINRA-2013-056   Proposed Rule Change to Amend FINRA Rule 2251 (Forwarding of Proxy and Other Issuer-Related Materials)
SR-FINRA-2013-055   Proposed Rule Change to Amend FINRA Rule 2360 (Options) Position Limits
SR-FINRA-2013-054   Proposed Rule Change Relating to Capacity Management Plan
SR-FINRA-2013-053   Proposed Rule Change to Update the Rules Governing the Alternative Display Facility
SR-FINRA-2013-052   Proposed Rule Change Relating to Alternative Display Facility New Entrant
SR-FINRA-2013-051   Proposed Rule Change to Amend the Uniform Branch Office Registration Form (Form BR)
SR-FINRA-2013-050   Proposed Rule Change Relating to Over-the-Counter Equity Trade Reporting and OATS Reporting
SR-FINRA-2013-049   Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
SR-FINRA-2013-048   Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Expand the Categories of Civil Judicial Disclosures that are Permanently Available in BrokerCheck
SR-FINRA-2013-047   Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Include Information About Members and Their Associated Persons of Any Registered National Securities Exchange that Uses the CRD System for Registration Purposes
SR-FINRA-2013-046 Updated   Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Additional Asset-Backed Securities
SR-FINRA-2013-045   Proposed Rule Change to Revise the Series 6 Examination Program
SR-FINRA-2013-044   Proposed Rule Change to Allow FINRA Members to Use the FINRA/NYSE Trade Reporting Facility to Transfer Transaction Fees Charged by One Member to Another Member
SR-FINRA-2013-043   Proposed Rule Change Relating to TRACE Fees for Securities Act Rule 144A Transaction Data
SR-FINRA-2013-042   Proposed Rule to Require Alternative Trading Systems to Report Volume Information to FINRA and Use Unique Market Participant Identifiers
SR-FINRA-2013-041   Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Remove Certain References to Individual Stock Trading Pauses in FINRA Rule 11892
SR-FINRA-2013-040   Proposed Rule Change to Amend FINRA Rule 7730(c) to Extend the Limited Waiver of the TRACE Professional Real-Time Data Display Fee Pilot
SR-FINRA-2013-039 Updated   Proposed Rule Change to Clarify the Classification and Reporting of Certain Securities to FINRA
SR-FINRA-2013-038   Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4)
SR-FINRA-2013-037   Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions)
SR-FINRA-2013-036   Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations)
SR-FINRA-2013-035   Proposed Rule Change to Adopt FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection – Permissible Use of Customers’ Securities) and 4340 (Callable Securities) in the Consolidated FINRA Rulebook
SR-FINRA-2013-034   Proposed Rule Change to Amend the Form U4 Regarding the Reporting of Unsatisfied Judgments and Liens
SR-FINRA-2013-033   Proposed Rule Change to Amend FINRA Rule 9217 to Include Additional Rule Violations Eligible for Disposition Under FINRA’s Minor Rule Violation Plan.
SR-FINRA-2013-032   Proposed Rule Change to Revise the Series 16 Examination Program
SR-FINRA-2013-031   Proposed Rule Change Relating to Participation on the Alternative Display Facility
SR-FINRA-2013-030   Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2013-029   Dissemination of Transactions in TRACE-Eligible Securities that are Effected Pursuant to Securities Act Rule 144A
SR-FINRA-2013-028   Proposed Rule Change to Revise the Series 55 Examination Program
SR-FINRA-2013-027   Proposed Rule Change Relating to Amendments to FINRA Rules 2360 and 4210 in Connection with OCC Cleared Over-the-Counter Options
SR-FINRA-2013-026   Proposed Rule Change Relating to Members’ Filing Obligations Under FINRA Rule 5123 (Private Placements of Securities)
SR-FINRA-2013-025   Proposed Rule Change to Adopt the Consolidated FINRA Supervision Rules
SR-FINRA-2013-024   Proposed Rule Change to Amend the Discovery Guide Used in Customer Arbitration Proceedings
SR-FINRA-2013-023   Proposed Rule Change to Amend FINRA Rule 12403 of the Code of Arbitration Procedure for Customer Disputes to Simplify Arbitrator Selection in Cases with Three Arbitrators
SR-FINRA-2013-022   Proposed Rule Change Relating to Dissemination of Agency-Pass Through Mortgage-Backed Securities and SBA-Backed ABS Traded in Specified Pool Transactions
SR-FINRA-2013-021   Proposed Rule Change Relating to an Extension of the Implementation Date for FINRA Rule 5270 (Front Running of Block Transactions)
SR-FINRA-2013-020   Proposed Rule Change to Amend FINRA Rule 5250 (Payments for Market Making) to Create an Exception for Payments to Members that are Expressly Provided for Under the Rules of a National Securities Exchange
SR-FINRA-2013-019   Proposed Rule Change Relating to FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2013-018   Proposed Rule Change Relating to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information)
SR-FINRA-2013-017   Proposed Rule Change Relating to FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2013-016   Proposed Rule Change to Amend FINRA Rules in Accordance with the Regulation NMS Plan to Address Extraordinary Market Volatility
SR-FINRA-2013-015   Proposed Rule Change to Amend Section 4 of Schedule A to the FINRA By-Laws to Adopt a Waiver Process for the Continuing Membership Application Fee and Amend NASD Rules 1013 and 1017 to Provide for a Refund of the Application Fee for the Withdrawal of a New Member or Continuing Membership Application
SR-FINRA-2013-014   Proposed Rule Change Relating to the General Securities Sales Supervisor (Series 9/10) Registration Category
SR-FINRA-2013-013   Proposed Rule Change to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution
SR-FINRA-2013-012   Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Adopt a New Provision in Connection with the Limit Up-Limit Down Plan
SR-FINRA-2013-011   Proposed Rule Change to Delay the Operative Date of FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
SR-FINRA-2013-010   Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
SR-FINRA-2013-009   Proposed Rule Change to Modify the “Late Report—T+N” Fee Applicable to Members Using the FINRA/Nasdaq Trade Reporting Facility
SR-FINRA-2013-008   Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
SR-FINRA-2013-006   Proposed Rule Change Relating to FINRA Rule 4530 (Reporting Requirements)
SR-FINRA-2013-005   Proposed Rule Change to Adopt Interim Form for Funding Portals Under the Jumpstart Our Business Startups Act
SR-FINRA-2013-004   Proposed Rule Change to Delay the Implementation Date of FINRA Rule 5350 (Stop Orders)
SR-FINRA-2013-003   Proposed Rule Change to Amend FINRA's Customer and Industry Codes of Arbitration Procedure to Revise the Public Arbitrator Definition
SR-FINRA-2013-002   Proposed Rule Change to Amend FINRA Rule 2267 (Investor Education and Protection)
SR-FINRA-2013-001   Proposed Rule Change to Update Cross-References and Make Other Non-Substantive Changes Within FINRA Rules and By-Laws