Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2015-023
Proposed Rule Change Relating to Rule 4553 and Fees for Access to Alternative Trading System Volume Information Published on FINRA’s Website - New
SR-FINRA-2015-022
Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) to Require Hyperlink to BrokerCheck on Member Websites - New
SR-FINRA-2015-021
Proposed Rule Change to Adopt Rule 7650A Relating to Debit Process for the Collection of FINRA/Nasdaq Trade Reporting Facility Fees - New
SR-FINRA-2015-020
Proposed Rule Change to Expand FINRA’s Alternative Trading System (“ATS”) Transparency Initiative to Publish OTC Equity Volume Executed Outside ATSs - New
SR-FINRA-2015-019
Proposed Rule Change to Amend FINRA Rule Series 9100, 9200, 9300, 9550, and 9800 Regarding Temporary and Permanent Cease and Desist Orders - New
SR-FINRA-2015-018
Proposed Rule Change to Revise the Series 4 Examination Program - Updated
SR-FINRA-2015-017
Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories - New
SR-FINRA-2015-016
Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements - Updated
SR-FINRA-2015-015 Proposed Rule Change to Provide a Web-based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements
SR-FINRA-2015-014
Proposed Rule Change to Amend Rule 2210 (Communications with the Public) to Require Hyperlink to BrokerCheck on Member Websites - Updated
SR-FINRA-2015-013 Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2015-012 Proposed Rule Change to Clarify the Scope of the Definition of “Asset-Backed Security” for Purposes of Reporting to FINRA’s Trade Reporting and Compliance Engine (TRACE) System
SR-FINRA-2015-011 Proposed Rule Change Relating to the Reporting Requirements of FINRA Rule 4530(a)(1)(H)
SR-FINRA-2015-010 Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
SR-FINRA-2015-009 Proposed Rule Change to Adopt FINRA Rule 2272 to Govern Sales or Offers of Sales of Securities on the Premises of Any Military Installation to Members of the U.S. Armed Forces or their Dependents
SR-FINRA-2015-008 Proposed Rule Change to Delay the Implementation Date of Trade Reporting Amendments Approved Pursuant to SR-FINRA-2013-050
SR-FINRA-2015-007 Proposed Rule Change to Waive Trade Reporting Fees Under Rule 7710 Due to an OTC Reporting Facility Systems Issue
SR-FINRA-2015-006 Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws to Increase Qualification Examination Fees
SR-FINRA-2015-005 Proposed Rule Change to Extend the Expiration Date of the Refund Program Under FINRA Rule 3110.15 (Temporary Program to Address Underreported Form U4 Information)
SR-FINRA-2015-004 Proposed Rule Change to Adopt FINRA Rule 4517 (Member Filing and Contact Information Requirements) into the Consolidated FINRA Rulebook
SR-FINRA-2015-003 Proposed Rule Change to Amend the Codes of Arbitration Procedure Relating to Cancelling or Postponing a Hearing
SR-FINRA-2015-002 Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
SR-FINRA-2015-001 Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2014-051 Proposed Rule Change Relating to In Concert Reporting of Options Positions
SR-FINRA-2014-050 Proposed Rule Change to Amend FINRA Rule 6700 Series (Trade Reporting and Compliance Engine)

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