2014 Rule Filings

SR-FINRA-2014-036 Updated   Proposed Rule Change Relating to the Composition of Hearing Panels and Extended Hearing Panels in Disciplinary Proceedings
SR-FINRA-2014-035 Updated   Proposed Rule Change to Revise the Series 24 Examination Program
SR-FINRA-2014-034 Updated   Proposed Rule Change to Revise the Series 23 Examination Program
SR-FINRA-2014-033   Proposed Rule Change Relating to Serving Electronically Written Decisions on Members Seeking Exemptive Relief Under NASD Rule 1070
SR-FINRA-2014-032   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   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 Updated   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 Updated   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   Proposed Rule Change to Amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
SR-FINRA-2014-020   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 Updated   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)