Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2018-029
Proposed Rule Change to Amend FINRA Rule 7620A Relating to Fees Applicable to the FINRA/Nasdaq Trade Reporting Facilities - New
SR-FINRA-2018-028
Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement - New
SR-FINRA-2018-027
Proposed Rule Change to Amend FINRA Rule 9000 Series (Code of Procedure) to Reflect an Internal Reorganization of FINRA’s Enforcement Operations - New
SR-FINRA-2018-026 Proposal to Amend FINRA Rules 12214 and 13214 to Provide That FINRA Will Pay Each Arbitrator a $200 Honorarium to Decide Without a Hearing Session a Contested Subpoena Request or a Contested Order for Production or Appearance
SR-FINRA-2018-025 Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2018-024 Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement
SR-FINRA-2018-023
Proposed Rule Change to Amend FINRA Rule 6730 Relating to ATS Reporting of Transactions to TRACE in U.S. Treasury Securities - Updated
SR-FINRA-2018-022 Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
SR-FINRA-2018-021 Proposed Rule Change Relating to District Committee Structure and Governance
SR-FINRA-2018-020 Proposed Rule Change to Amend FINRA Rule 6710 to Modify the Definition of “Agency Debt Security”
SR-FINRA-2018-019
Proposed Rule Change to Create a $100 Fee and Honorarium for Late Cancellation of a Prehearing Conference - Updated
SR-FINRA-2018-018 Proposed Rule Change Relating to Statutory Disqualification Application Fees
SR-FINRA-2018-017 Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
SR-FINRA-2018-016 Proposed Rule Change Relating to FINRA Rule 3310 to Conform FINRA Rule 3310 to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions
SR-FINRA-2018-015 Proposed Rule Change to Amend FINRA Rule 6433 to Adopt the OTC Quotation Tier Pilot as Permanent
SR-FINRA-2018-014 Proposed Rule Change to Extend the Temporary Exception to Permit Aggregate Reporting for Certain ATS Transactions in U.S. Treasury Securities
SR-FINRA-2018-013 Proposed Rule Change Relating to the Establishment of a Second Trade Reporting Facility in Conjunction with Nasdaq, Inc.
SR-FINRA-2018-012 Proposed Rule Change to Eliminate the Fee for an Explained Decision
SR-FINRA-2018-011 Proposed Rule Change to Revise the Private Securities Offerings Representative (Series 82) Examination
SR-FINRA-2018-010 Proposed Rule Change to Revise the Securities Trader (Series 57) Examination
SR-FINRA-2018-009 Proposed Rule Change to Revise the Direct Participation Programs Representative (Series 22) Examination
SR-FINRA-2018-008 Proposed Rule Change to Revise the General Securities Representative (Series 7) Examination
SR-FINRA-2018-007 Proposed Rule Change to Revise the Investment Company and Variable Contracts Products Representative (Series 6) Examination
SR-FINRA-2018-006 Proposed Rule Change to Revise the Operations Professional (Series 99) Examination
SR-FINRA-2018-005 Proposed Rule Change to Revise the Research Analyst (Series 86 and 87) Examinations

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