Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2016-028
Proposed Rule Change to Clarify the Operation of the Regulation NMS Plan to Address Extraordinary Market Volatility - New
SR-FINRA-2016-027
Proposed Rule Change Relating to the Reporting of U.S. Treasury Securities to the Trade Reporting and Compliance Engine - New
SR-FINRA-2016-026
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules - Updated
SR-FINRA-2016-025 Proposed Rule Change Relating to the Fee for the Regulatory Element of Continuing Education
SR-FINRA-2016-024 Proposed Rule Change to Amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE))
SR-FINRA-2016-023 Proposed Rule Change To Amend the FINRA Rule 6700 Series and the TRACE Dissemination Protocols to Provide for the Dissemination of CMO Transactions
SR-FINRA-2016-022
Proposed Rule Change Relating to the Panel Selection Process in Customer Cases with Three Arbitrators. - Updated
SR-FINRA-2016-021
Proposed Rule Change to Clarify the Application of FINRA Rule 2210 (Communications with the Public) to Debt Research Reports - Updated
SR-FINRA-2016-020 Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2016-019 Proposed Rule Change to Adopt NASD Rule 2830 as FINRA Rule 2341 (Investment Company Securities) in the Consolidated FINRA Rulebook
SR-FINRA-2016-018
Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), and 2214 (Requirements for the Use of Investment Analysis Tools) - Updated
SR-FINRA-2016-017 Proposed Rule Change to Amend FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)
SR-FINRA-2016-016 Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
SR-FINRA-2016-015
Proposed Rule Change to Provide that Absent Specification to the Contrary in an Award, When Arbitrators Order Opposing Parties to Pay Each Other Damages, the Monetary Awards Shall Offset. - Updated
SR-FINRA-2016-014 Proposed Rule Change Relating to National Adjudicatory Council Composition, Member Terms and Election Procedures
SR-FINRA-2016-013 Proposed Rule Change to Delay Implementation of FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)
SR-FINRA-2016-012 Proposed Rule Change to amend FINRA Rule 6184 (Transactions in Exchange-Traded Managed Fund Shares (NextShares))
SR-FINRA-2016-011 Proposed Rule Change to Modify the Dissemination Protocols for TRACE-Eligible Securities
SR-FINRA-2016-010 Proposed Rule Change to Adopt FINRA Rule 4554 (Alternative Trading Systems - Recording and Reporting Requirements of Order and Execution Information for NMS Stocks)
SR-FINRA-2016-009 Proposed Rule Change to Amend FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees)
SR-FINRA-2016-008 Proposed Rule Change to Delay the Implementation Date of FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)
SR-FINRA-2016-007 Proposed Rule Change to Require Registration as Securities Traders of Associated Persons Primarily Responsible for the Design, Development or Significant Modification of Algorithmic Trading Strategies
SR-FINRA-2016-006 Proposed Rule Change to Amend FINRA Rules 7410 (Definitions) and 7440 (Recording of Order Information)
SR-FINRA-2016-005 Proposed Rule Change to Reduce the Synchronization Tolerance for Computer Clocks that are Used to Record Events in NMS Securities and OTC Equity Securities
SR-FINRA-2016-004 Proposed Rule Change to Adopt FINRA Rule 0151 (Coordination with the MSRB) and Amend FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities)

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