Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2017-029
Proposed Rule Change to Delay the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 - New
SR-FINRA-2017-028 Proposed Rule Change to Implement a New Electronic Form 211
SR-FINRA-2017-027 Proposed Rule Change Relating to Capital Acquisition Broker Rules 203 (Engaging in Distribution and Solicitation Activities with Government Entities) and 458 (Books and Records Requirements for Government Distribution and Solicitation Activities)
SR-FINRA-2017-026 Proposed Rule Change to Clarify Application of FINRA Rule 11140 (Transactions in Securities “Ex-Dividend,” “Ex-Rights” or “Ex-Warrants) in Connection with the Implementation of the Shortened Settlement Cycle (T+2) on September 5, 2017
SR-FINRA-2017-025
Proposed Rule Change Relating to Revisions to the Definition of Non-public Arbitrator - Updated
SR-FINRA-2017-024 Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SR-FINRA-2017-023 Proposed Rule Change to amend FINRA Rule 6730 (Transaction Reporting) to Provide a Temporary Exception to Permit Aggregate Reporting for Certain ATS Transactions in U.S. Treasury Securities
SR-FINRA-2017-022 Proposed Rule Change to Waive Fees under FINRA Rule 7730 (Trade Reporting and Compliance Engine (“TRACE”))
SR-FINRA-2017-021
Proposed Rule Change to Amend FINRA Rule 7730 to Make Available a New TRACE Security Activity Report - Updated
SR-FINRA-2017-020
Proposed Rule Change to Adopt FINRA Rule 6898 (Consolidated Audit Trail - Fee Dispute Resolution) - Updated
SR-FINRA-2017-019 Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2017-018 Proposed Rule Change Relating to the Implementation Date for Trade Modifiers When Reporting Transactions in U.S. Treasury Securities
SR-FINRA-2017-017 Proposed Rule Change to Adopt FINRA Rule 6898 (Consolidated Audit Trail - Fee Dispute Resolution)
SR-FINRA-2017-016 Proposed Rule Change to Amend FINRA Rule 7620A to Eliminate the No/Was Corrective Transaction Charge
SR-FINRA-2017-015 Proposed Rule Change to Amend FINRA Rule 7730 to Make Available a New End-of-Day TRACE Transaction File
SR-FINRA-2017-014 Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
SR-FINRA-2017-013 Proposed Rule Change Relating to Elimination and Modification of Duplicative Rules After Implementation of the Consolidated Audit Trail
SR-FINRA-2017-012 Proposed Rule Change to Amend FINRA Rule 7730 to Reduce the Delay Period for the Historic TRACE Data Sets Relating to Corporate and Agency Debt Securities
SR-FINRA-2017-011 Proposed Rule Change to Adopt a Fee Schedule to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
SR-FINRA-2017-010 Proposed Rule Change to Amend Rule 6191 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
SR-FINRA-2017-009 Proposed Rule Change to Amend the Customer And Industry Codes to Expedite List Selection in Arbitration
SR-FINRA-2017-008 Proposed Rule Change Relating to the Private Placement Filer Form under FINRA Rules 5122 and 5123
SR-FINRA-2017-007 Proposed Rule Change to Adopt Consolidated FINRA Registration Rules, Restructure the Representative-Level Qualification Examination Program and Amend the Continuing Education Requirements
SR-FINRA-2017-006 Proposed Rule Change to Amend Rule 6191 to Implement an Anonymous, Grouped Masking Methodology for Over-the-Counter Activity in Connection with Website Data Publication of Appendix B Data Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
SR-FINRA-2017-005 Proposed Rule Change to Amend FINRA Rule 6191 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program

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