Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2016-036
Proposed Rule Change to Adopt NASD Interpretive Material 2210-2 as FINRA Rule 2211 (Communications with the Public About Variable Life Insurance and Variable Annuities) in the Consolidated FINRA Rulebook - Updated
SR-FINRA-2016-035
Proposed Rule Change to Amend FINRA Rule 6191 Relating to the Data Collection Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program - Updated
SR-FINRA-2016-034 Proposed Rule Change to Extend the Effective Date of SR-FINRA-2016-028
SR-FINRA-2016-033 Proposed Rule Change Relating to Broadening Chairperson Eligibility in Arbitration
SR-FINRA-2016-032 Proposed Rule Change Relating to FINRA Rule 2232 (Customer Confirmations) to Require Members to Disclose Additional Pricing Information on Retail Customer Confirmations Relating to Transactions in Fixed Income Securities
SR-FINRA-2016-031 Proposed Rule Change Relating to Use of the Alternative Display Facility for Trade Reporting Purposes Only
SR-FINRA-2016-030
Proposed Rule Change Relating to Motions to Dismiss in Arbitration - Updated
SR-FINRA-2016-029
Proposed Rule Relating to use of the Dispute Resolution Party Portal in Arbitration and Mediation - Updated
SR-FINRA-2016-028 Proposed Rule Change to Clarify the Operation of the Regulation NMS Plan to Address Extraordinary Market Volatility
SR-FINRA-2016-027
Proposed Rule Change Relating to the Reporting of U.S. Treasury Securities to the Trade Reporting and Compliance Engine - Updated
SR-FINRA-2016-026 Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
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 - Updated
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
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.
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))

Pages