Regulation
2008 Rule Filings
Rule filings are not effective until approved by the Securities and Exchange Commission (SEC), with the exception of certain limited types of rule filings that may take effect upon filing with the SEC if they meet the conditions specified under Section 19 of the Securities Exchange Act of 1934 (Exchange Act). In addition, some rule filings may be followed by amendments that modify the original filing.
If you are unable to access the files within this page, please send an email to our Office of General Counsel. Please include your name, address and a telephone number at which you can be reached during regular business hours, and the rule filing number you are requesting.
SR-FINRA-2008-044 
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Proposed Rule Change to Amend NA | |
| SR-FINRA-2008-043 | Proposed Rule Change to Establish a Membership Waive-In Process for Certain NYSE Alternext US LLC Member Organizations | |
| SR-FINRA-2008-042 | Proposed Rule Change Relating to Amendments to Portolio Margin | |
| SR-FINRA-2008-041 | Proposed Rule Change to Make Permanent the Portfolio Margin Pilot Program | |
| SR-FINRA-2008-040 | Proposed Rule Change Relating to Elimination of the Requirement to Report Yield to TRACE and Addition of Yield Calculated by TRACE System in Disseminated Data | |
| SR-FINRA-2008-039 | Proposed Rule Change to Adopt FINRA Rules 5110 (Corporate Financing Rule), 5190 (Notification Requirements for Offering Participants) and 6470 (Withdrawal of Quotations in an OTC Equity Security in Compliance with SEC Reg M) in the Consolidated FINRA Rulebook | |
| SR-FINRA-2008-038 | Proposed Rule Change to Amend NASD Rules 2210 and 2211 and Incorporated NYSE Rule 472 to Define Market Letters as Correspondence Rather than as Sales Literature | |
| SR-FINRA-2008-037 | Proposed Rule Change to Amend NASD Rule 11890 (Clearly Erroneous Transactions) | |
| SR-FINRA-2008-036 | Proposed Rule to Amend Certain NYSE Rules to Reduce Regulatory Duplication and Relieve Firms that are Members of Both FINRA and the NYSE of Conflicting or Unneccesary Regulatory Burdens in the Interim Period Before a Consolidated FINRA Rulebook is Completed | |
| SR-FINRA-2008-035 | Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to add the Fees Charged for the Series 14 and Series 16 Examinations | |
| SR-FINRA-2008-034 | Proposed Rule Change to Amend Incorporated NYSE Rules 311, 342, 345, 346, and 416 to Delete References to Fees in Those Rules | |
| SR-FINRA-2008-033 | Proposed Rule Change to Adopt FINRA Rule 4560 (Short-Interest Reporting) in the Consolidated FINRA Rulebook | |
| SR-FINRA-2008-032 | Proposed Rule Change to Adopt FINRA Rules 2350 Through 2359 (Regarding Trading in Index Warrants, Currency Index Warrants and Currency Warrants), FINRA Rule 2360 (Options) and FINRA Rule 2370 (Security Futures) in the Consolidated FINRA Rulebook | |
| SR-FINRA-2008-031 | Proposed Rule Change will Amend the Uniform Submission Agreement | |
| SR-FINRA-2008-030 | Proposed Rule Change to Adopt FINRA Rule 3130 (Annual Certification of Compliance and Supervisory Processes) in the Consolidated FINRA Rulebook | |
| SR-FINRA-2008-029 | Proposed Rule Change to Repeal NASD Rule 1130 and Incorporated NYSE Rules 405A, 440F, 440G, and 477 as Part of the Process of Developing the Consolidated FINRA Rulebook | |
| SR-FINRA-2008-028 | Proposed Rule Change to Adopt FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade), FINRA Rule 2020 (Use of Manipulative, Deceptive or Other Fraudulent Devices), and FINRA Rule 5150 (Fairness Opinions) in the Consolidated FINRA Rulebook | |
| SR-FINRA-2008-027 | Proposed Rule Change Relating to the Adoption of FINRA Rule 3220 (Influencing or Rewarding Employees of Others) and FINRA Rule 2070 (Transactions Involving FINRA Employees) in the Consolidated FINRA Rulebook | |
| SR-FINRA-2008-026 | Proposed Rule Change to Adopt the FINRA Rule 0100 Series (General Standards) in the Consolidated FINRA Rulebook | |
| SR-FINRA-2008-025 | Proposed Rule Change to Adopt NASD Rule 2790 as FINRA Rule 5130 in the Consolidated FINRA Rulebook | |
| SR-FINRA-2008-024 | Proposed Rule Change to Amend the Discovery Guide to Update the Document Production Lists | |
| SR-FINRA-2008-023 | Proposed Rule Change to Amend NASD IM-9216 to Expand the FINRA Minor Rule Violation Plan | |
| SR-FINRA-2008-022 | Proposed Rule Change to Amend NASD IM-1013-1 to Address the Applicability of the Consolidated FINRA Rules to Firms That Became FINRA Members Pursuant to IM-1013-1 | |
| SR-FINRA-2008-021 | Proposed Rule Change to Adopt NASD Rules 4000 Through 10000 Series and the 12000 Through 14000 Series as FINRA Rules in the New Consolidated FINRA Rulebook | |
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SR-FINRA-2008-020
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Proposed Rule Change to Adopt a New FINRA Rule 5122 to Impose Requirements Regarding Member Private Offerings | |
| SR-FINRA-2008-019 | Proposed Rule Change to Amend Certain Provisions of Rule 2821 | |
| SR-FINRA-2008-018 | Proposed Rule Change to Amend Incorporated NYSE Rules to Delete References to Certain Fees and to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Add Fees Charged for the Series 14 and Series 16 Examinations | |
| SR-FINRA-2008-017 | Proposed Rule Change Relating to Section 1(a) of Article III of the FINRA By-Laws | |
| SR-FINRA-2008-016 | Proposed Rule Change to Align the Reporting Requirements and Dissemination Protocols for Over-the-Counter (OTC) Equity Transactions Involving Foreign Securities With all Other OTC Equity Securities | |
| SR-FINRA-2008-015 | Proposed Rule Change to Delay the Effective Date of Certain FINRA Rule Changes Approved in SR-NASD-2004-183 | |
| SR-FINRA-2008-014 | Proposed Rule to Amend Certain NYSE Rules to Reduce Regulatory Duplication and Relieve Firms That are Members of Both FINRA and the NYSE of Conflicting or Unneccesary Regulatory Burdens in the Interim Period Before a Consolidated FINRA Rulebook is Completed | |
| SR-FINRA-2008-013 | Proposed Rule Change to Amend Rule 2220 to Update the Standards for Options Communications | |
| SR-FINRA-2008-012 | Proposed Rule Change to Amend Incorporated NYSE Rule Interpretation 344/02 | |
| SR-FINRA-2008-011 | Proposed Rule Change to Amend Trade Reporting Structure and Require Submission of Non-Tape Reports to Identify Other Members for Agency and Riskless Principal Transactions | |
| SR-FINRA-2008-010 | Proposed Rule Change to Adopt Rule 12805 of the Customer Code and Rule 13805 of the Industry Code to Establish New Procedures for Arbitrators to Follow when Considering Expungement Relief | |
| SR-FINRA-2008-009 | Proposed Rule Change to the Code of Arbitration Procedure for Customer Disputes and Industry Disputes to Amend the Chairperson Eligibility Requirements | |
| SR-FINRA-2008-008 | Proposed Rule Change to NASD Rule 1013 to Change the Manner in Which Applicants Apply for Membership | |
| SR-FINRA-2008-007 | Proposed Rule Change Relating to Permanent Approval of the Pilot Program that Increases Options Position and Exercise Limits | |
| SR-FINRA-2008-006 | Proposed Rule Change to Establish Minimum Quarterly Threshold for Securities Transaction Credit Under NASD Rule 7001C | |
| SR-FINRA-2008-005 | Proposed Rule Change to Adopt Rule 12905 of the Customer Code and Rule 13905 of the Industry Code to Permit Submissions to Arbitrators After a Case Has Closed Under Limited Circumstances | |
| SR-FINRA-2008-004 | Proposed Rule Change to Amend the Rule 7000C Series Regarding Charges for FINRA/NSX Trade Reporting Facility Services | |
| SR-FINRA-2008-003 | Proposed Rule Change Relating to Extending the Pilot for the Use of Multiple MPIDs on the Trade Reporting Facilities and on the Alternative Display Facility | |
| SR-FINRA-2008-002 | Proposed Rule Change to Reflect that the FINRA/NYSE Trade Reporting Facility Does Not Support Three-Party Trade Report Functionality | |
| SR-FINRA-2008-001 | Proposed Rule Change to Amend FINRA's Gross Income Assessment and Make Technical Changes to Schedule A to FINRA's By-Laws |
