2014 Rule Filings

SR-FINRA-2014-033 Updated   Proposed Rule Change Relating to Serving Electronically Written Decisions on Members Seeking Exemptive Relief Under NASD Rule 1070
SR-FINRA-2014-032 Updated   Proposed Rule Change to Amend Rule 7710 Relating to Fees for the OTC Reporting Facility and Delete Rule 7740 Relating to Historical Research and Administrative Reports
SR-FINRA-2014-031 Updated   Proposed Rule Change to Amend the Definition of Hearing Officer to Include Former FINRA Employees Who Previously Worked as Hearing Officers
SR-FINRA-2014-030 Updated   Proposed Rule Change Relating to Quotation Requirements for Unlisted Equity Securities and Deletion of the Rules Related to the OTC Bulletin Board Service
SR-FINRA-2014-029   Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2014-028   Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator
SR-FINRA-2014-027   Proposed Rule Change Relating to Options Exercise Procedures
SR-FINRA-2014-026   Proposed Rule Change to Amend the Codes of Arbitration Procedure to Increase Arbitrator Honoraria by Increasing Arbitration Filing Fees, Member Surcharges and Process Fees and Hearing Session Fees
SR-FINRA-2014-025   Proposed Rule Change to Adopt a Supplemental Schedule for Inventory Positions Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
SR-FINRA-2014-024   Proposed Rule Change Relating to the Definition of “Reporting Member” in the Order Audit Trail System Rules
SR-FINRA-2014-023   Proposed Rule Change to Adopt FINRA Rule 2121 (Fair Prices and Commissions), Supplementary Material .01 (Mark-Up Policy) and Supplementary Material .02 (Additional Mark-Up Policy For Transactions in Debt Securities, Except Municipal Securities) in the Consolidated FINRA Rulebook
SR-FINRA-2014-022   Proposed Rule Change to Delay the Implementation Date of SR-FINRA-2013-046
SR-FINRA-2014-021 Updated   Proposed Rule Change to Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
SR-FINRA-2014-020 Updated   Proposed Rule Change to Adopt FINRA Rule 2081 (Prohibited Conditions Relating to Expungement of Customer Dispute Information)
SR-FINRA-2014-019   Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement.
SR-FINRA-2014-018   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   Proposed Rule Change Relating to Reporting and Market Participant Identifier Requirements for Alternative Trading Systems
SR-FINRA-2014-016   Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SR-FINRA-2014-015   Proposed Rule Change to Revise the Series 26 Examination Program
SR-FINRA-2014-014   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   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   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 Updated   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   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)