2014 Rule Filings

SR-FINRA-2014-021 New   Proposed Rule Change to Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
SR-FINRA-2014-020 New   Proposed Rule Change to Adopt FINRA Rule 2081 (Prohibited Conditions Relating to Expungement of Customer Dispute Information)
SR-FINRA-2014-019 New   Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement.
SR-FINRA-2014-018 Updated   Proposed Rule Change to Adopt FINRA Rule 4553 to Establish a Fee Schedule for Access to Alternative Trading System Volume Information Published on FINRA’s Website
SR-FINRA-2014-017 Updated   Proposed Rule Change Relating to Reporting and Market Participant Identifier Requirements for Alternative Trading Systems
SR-FINRA-2014-016 Updated   Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SR-FINRA-2014-015 New   Proposed Rule Change to Revise the Series 26 Examination Program
SR-FINRA-2014-014 Updated   Proposed Rule Change to Adopt FINRA Rule 4553 to Establish a Fee Schedule for Access to Alternative Trading System Volume Information Published on FINRA’s Website
SR-FINRA-2014-013 Updated   Proposed Rule Change to Extend the Clearly Erroneous Pilot Program for Exchange-Listed Securities
SR-FINRA-2014-012   Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public) and 2214 (Requirements for the Use of Investment Analysis Tools)
SR-FINRA-2014-011   Proposed Rule Change to Amend FINRA Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11)
SR-FINRA-2014-010   Proposed Rule Change to Adopt FINRA Rule 2243 (Disclosure and Reporting Obligations Related to Recruitment Practices)
SR-FINRA-2014-009   Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions) to Provide FINRA with General Exemptive Authority
SR-FINRA-2014-008 Updated   Proposed rule change relating to protecting personal confidential information in documents filed with FINRA Dispute Resolution
SR-FINRA-2014-007   Proposed Rule Change to Amend Rule 7510 and Rule 7540 Relating to Fees for the Alternative Display Facility
SR-FINRA-2014-006   Proposed Rule Change Relating to Per Share Estimated Valuations for Unlisted DPPs and REITs
SR-FINRA-2014-005   Proposed Rule Change to Amend Rules 12104 and 13104 to Broaden Arbitrators' Authority to Make Referrals During an Arbitration Proceeding
SR-FINRA-2014-004   Proposed Rule Change Relating to Amendments to FINRA Rule 5110 (Corporate Financing Rule—Underwriting Terms and Arrangements)
SR-FINRA-2014-003 Updated   Proposed Rule Change to amend FINRA’s Corporate Financing Rules to Simplify and Refine the Scope of the Rules
SR-FINRA-2014-002   Proposed Rule Change to Adopt FINRA Rule 7640A (Data Products Offered By Nasdaq)
SR-FINRA-2014-001   Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)