Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2019-016
Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) - New
SR-FINRA-2019-015
Proposed Rule Change to Update the FINRA Manual to Reflect FINRA’s New Subsidiary, FINRA CAT, LLC - Updated
SR-FINRA-2019-014 Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting)
SR-FINRA-2019-013 Proposed Rule Change Relating to Rules Addressing the Regulation NMS Plan to Address Extraordinary Market Volatility
SR-FINRA-2019-012
Proposed Rule Change Relating to FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) to Make Substantive, Organizational and Terminology Changes - Updated
SR-FINRA-2019-011 Proposed Rule Change to Extend the Current Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
SR-FINRA-2019-010 Proposed Rule Change to Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
SR-FINRA-2019-009 Proposed Rule Change to Adopt Remaining Legacy NASD and Incorporated NYSE Rules as FINRA Rules
SR-FINRA-2019-008 Proposed Rule Change to Establish a Corporate Bond New Issue Reference Data Service
SR-FINRA-2019-007 Proposed Rule Change to Adopt FINRA Rule 7640B (Data Products Offered By NYSE)
SR-FINRA-2019-006 Proposed Rule Change to Amend Capital Acquisition Broker (“CAB”) Rules Governing Qualification, Registration and Continuing Education of Associated Persons of CABs
SR-FINRA-2019-005 Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036
SR-FINRA-2019-004 Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
SR-FINRA-2019-003 Proposed Rule Change Relating to FINRA Rule 6750 (Dissemination of Transaction Information)
SR-FINRA-2019-002 Proposed Rule Change to Provide Temporary Relief to Permit Member Alternative Trading Systems (ATSs) and ATS Subscribers Additional Flexibility in Transitioning to Disaggregated Reporting for Certain Transactions in U.S. Treasury Securities
SR-FINRA-2019-001 Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2018-043 Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
SR-FINRA-2018-042 Proposed Rule Change to Amend FINRA Rules 7610A and 7620A to Modify Certain Fees and Credits Applicable to FINRA/Nasdaq TRF Retail Participants
SR-FINRA-2018-041 Proposed Rule Change to Make Technical Revisions and One Minor Correction to the Supplemental Statement of Income Required to be Filed Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
SR-FINRA-2018-040 Proposed Rule Change Relating to FINRA Rule 4512 (Customer Account Information)
SR-FINRA-2018-039 Proposed Rule Change Relating to FINRA Rule 4570 (Custodian of Books and Records)
SR-FINRA-2018-037 Proposed Rule Change to Adopt FINRA Rule 9910 (Post-Employment Conflict of Interest Restrictions; Nonpublic Information)
SR-FINRA-2018-036 Proposed Rule Change Relating to Test Results Information on the Content Outlines of FINRA Qualification Examinations
SR-FINRA-2018-035 Proposed Rule Change to Amend CAB Rule 331 (Anti-Money Laundering Compliance Program) to Conform to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions
SR-FINRA-2018-034 Immediate Effectiveness of a Proposed Rule Change to Amend Rule 2360 (Options) to Increase Position Limits on Options on Certain Exchange-Traded Funds

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