Rule Filings

Rule Filing Numbersort ascending Title
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 - New
SR-FINRA-2016-006
Proposed Rule Change to Amend FINRA Rules 7410 (Definitions) and 7440 (Recording of Order Information) - New
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 - New
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) - New
SR-FINRA-2016-003
Proposed Rule Change to Extend the Implementation Date of the No-Remuneration Indicator - Updated
SR-FINRA-2016-002 Proposed Rule Change Relating to Alternative Trading System Volume and Trading Information
SR-FINRA-2016-001 Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2015-059 Proposed Rule Change to Amend the Derivatives and Other Off-Balance Sheet Items Schedule Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
SR-FINRA-2015-058 Proposed Rule Change Relating to the Series 9/10 Examination Program
SR-FINRA-2015-057
Proposed Rule Change to Adopt FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers - Updated
SR-FINRA-2015-056
Proposed Rule Change to Adopt FINRA Rule 2030 and FINRA Rule 4580 to Establish “Pay-To-Play” and Related Rules - Updated
SR-FINRA-2015-055 Proposed Rule Change to Adopt New FINRA Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System)
SR-FINRA-2015-054
Proposed Rule Change to Adopt the Capital Acquisition Broker Rules - Updated
SR-FINRA-2015-053 Proposed Rule Change to Amend Rule 7620A Relating to FINRA/Nasdaq Trade Reporting Facility Fees
SR-FINRA-2015-052 Proposed Rule Change to Amend NASD Rules 1022 (Categories of Principal Registration) and 1032 (Categories of Representative Registration)
SR-FINRA-2015-051 Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
SR-FINRA-2015-050 Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SR-FINRA-2015-049 Proposed Rule Change to Amend Rule 7620A Relating to FINRA/Nasdaq Trade Reporting Facility Fees
SR-FINRA-2015-048 Proposed Rule Change to Adopt FINRA Rule 6191(b) and Amend FINRA Rule 7440 to Implement the Data Collection Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program
SR-FINRA-2015-047 Proposed Rule Change to Adopt FINRA Rule 6191(a) to Implement the Quoting and Trading Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program
SR-FINRA-2015-046 Proposed Rule Change Relating to Mandatory Participation in Business Continuity and Disaster Recovery Testing under Regulation SCI
SR-FINRA-2015-045 Proposed Rule Change to Amend FINRA Rule 7640A (Data Products Offered By Nasdaq)
SR-FINRA-2015-044 Proposed Rule Change to Establish An Examination Fee for the Securities Trader Qualification Examination (Series 57)
SR-FINRA-2015-043 Proposed Rule Change Relating to the Reporting of OTC Transactions in Exchange-Traded Managed Fund Shares (NextShares) to FINRA
SR-FINRA-2015-042 Proposed Rule Change Relating to the New Securities Trader Qualification Examination (Series 57)

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