Rule Filings

Rule Filing Number Titlesort descending
SR-NASD-2007-053 Proposed Rule Change to Amend the Restated Certificate of Incorporation of NASD to Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc. and to Conform the Certificate to the Amended NASD By-Laws
SR-FINRA-2008-004 Proposed Rule Change to Amend the Rule 7000C Series Regarding Charges for FINRA/NSX Trade Reporting Facility Services
SR-FINRA-2018-028 Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement
SR-FINRA-2010-045 Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement
SR-FINRA-2018-024 Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement
SR-FINRA-2014-019 Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement.
SR-FINRA-2011-040 Proposed Rule Change to Amend the Supplementary Material to FINRA Rule 1230(b)(6) (Operations Professional)
SR-FINRA-2013-051 Proposed Rule Change to Amend the Uniform Branch Office Registration Form (Form BR)
SR-FINRA-2012-034 Proposed Rule Change to Amend TRACE Reporting Rules Relating to Transfers of TRACE-Eligible Securities to Create or Redeem Instruments Such as an ETF
SR-FINRA-2007-012 Proposed Rule Change to Amend Trade Reporting Rules to Require Related Market Center Indicator on Certain Non-Tape Reports Submitted to FINRA
SR-FINRA-2008-011 Proposed Rule Change to Amend Trade Reporting Structure and Require Submission of Non-Tape Reports to Identify Other Members for Agency and Riskless Principal Transactions
SR-NASD-2001-053 Proposed Rule Change to Amend Uniform Practice Code Rule 11870(c) and Rule 11870(d)
SR-NASD-2000-068 Proposed Rule Change to Amend Uniform Practice Code Rule 11870(e)
SR-NASD-2005-086 Proposed Rule Change to Amendment to Article VIII of the By-Laws, Relating to District Committees and District Nominating Committees
SR-NASD-2003-093 Proposed Rule Change to By-Laws Regarding the Trading Activity Fee
SR-FINRA-2017-026 Proposed Rule Change to Clarify Application of FINRA Rule 11140 (Transactions in Securities “Ex-Dividend,” “Ex-Rights” or “Ex-Warrants) in Connection with the Implementation of the Shortened Settlement Cycle (T+2) on September 5, 2017
SR-NASD-1998-013 Proposed Rule Change to Clarify That Members of the National Adjudicatory Council May Serve as Panelists in the Appeal or Review of Disciplinary Proceedings
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-2009-045 Proposed Rule Change to Clarify the Application of Transaction-Related Charges for Trade Reporting to the OTC Reporting Facility Pursuant to FINRA Rule 7710
SR-FINRA-2013-039 Proposed Rule Change to Clarify the Classification and Reporting of Certain Securities to FINRA
SR-FINRA-2016-028 Proposed Rule Change to Clarify the Operation of the Regulation NMS Plan to Address Extraordinary Market Volatility
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-2009-021 Proposed Rule Change to Codify the Extended Hours Trading Risk Disclosure Obligation as New FINRA Rule 2265
SR-FINRA-2018-019 Proposed Rule Change to Create a $100 Fee and Honorarium for Late Cancellation of a Prehearing Conference
SR-NASD-2005-053 Proposed Rule Change to Delay Implementation Date of Revisions to the Series 4 Examination Program

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