Rule Filings

Rule Filing Number Titlesort descending
SR-FINRA-2012-026 Proposed Rule Change Relating to the Handling of Stop and Stop Limit Orders
SR-FINRA-2016-041 Proposed Rule Change Relating to the Implementation Date for Alternative Trading Systems to Report Sequence Numbers Under Rule 4554
SR-FINRA-2012-008 Proposed Rule Change Relating to the Implementation Date for Amendments to the Trading Activity Fee Rate for Transactions in Covered Equity Securities.
SR-FINRA-2017-018 Proposed Rule Change Relating to the Implementation Date for Trade Modifiers When Reporting Transactions in U.S. Treasury Securities
SR-FINRA-2014-042 Proposed Rule Change Relating to the Implementation Date of Market Participant Identifier Requirements for Alternative Trading Systems
SR-FINRA-2018-002 Proposed Rule Change Relating to the New Securities Industry Essentials (SIE) Examination
SR-FINRA-2015-042 Proposed Rule Change Relating to the New Securities Trader Qualification Examination (Series 57)
SR-NASD-2002-097 Proposed Rule Change Relating to the Operation of NASD's Alternative Display Facility as a Temporary Pilot
SR-FINRA-2011-066 Proposed Rule Change Relating to the Order Audit Trail System Definitions of Index Arbitrage Trade and Program Trade
SR-FINRA-2016-022 Proposed Rule Change Relating to the Panel Selection Process in Customer Cases with Three Arbitrators.
SR-FINRA-2017-008 Proposed Rule Change Relating to the Private Placement Filer Form under FINRA Rules 5122 and 5123
SR-FINRA-2009-064 Proposed Rule Change Relating to the Publication of Certain Daily and Monthly Short Sale Data on the FINRA Web Site
SR-FINRA-2015-043 Proposed Rule Change Relating to the Reporting of OTC Transactions in Exchange-Traded Managed Fund Shares (NextShares) to FINRA
SR-FINRA-2009-031 Proposed Rule Change Relating to the Reporting of Over-the-Counter Transactions in Equity Securities Executed Outside Normal Market Hours
SR-FINRA-2016-027 Proposed Rule Change Relating to the Reporting of U.S. Treasury Securities to the Trade Reporting and Compliance Engine
SR-FINRA-2015-011 Proposed Rule Change Relating to the Reporting Requirements of FINRA Rule 4530(a)(1)(H)
SR-FINRA-2010-027 Proposed Rule Change Relating to the Restated Certificate of Incorporation of Financial Industry Regulatory Authority, Inc.
SR-FINRA-2015-038 Proposed Rule Change Relating to the Series 27 Examination Program
SR-FINRA-2015-039 Proposed Rule Change Relating to the Series 28 Examination Program
SR-FINRA-2015-058 Proposed Rule Change Relating to the Series 9/10 Examination Program
SR-FINRA-2015-035 Proposed Rule Change Relating to the Submission of “Clearing-Only, Non-Regulatory Reports” to the FINRA Equity Trade Reporting Facilities
SR-FINRA-2017-034 Proposed Rule Change Relating to the Trade Reporting Facility Limited Liability Company Agreements
SR-FINRA-2010-020 Proposed Rule Change Relating to the Trade Reporting Facility Limited Liability Company Agreements
SR-FINRA-2010-067 Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions in Asset-Backed Securities
SR-FINRA-2011-004 Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions in Asset-Backed Securities

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