Rule Filings

Rule Filing Numbersort descending Title
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
SR-FINRA-2019-013 Proposed Rule Change Relating to Rules Addressing the Regulation NMS Plan to Address Extraordinary Market Volatility
SR-FINRA-2019-014 Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting)
SR-FINRA-2019-015 Proposed Rule Change to Update the FINRA Manual to Reflect FINRA’s New Subsidiary, FINRA CAT, LLC
SR-FINRA-2019-016 Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2019-017 Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public) and 2241 (Research Analysts and Research Reports)
SR-FINRA-2019-018 Proposed Rule Change to Make Technical and Other Non-Substantive Changes within FINRA Rules
SR-FINRA-2019-019 Proposed Rule Change to Expand OTC Equity Trading Volume Data Published on FINRA’s Website
SR-FINRA-2019-020 Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
SR-FINRA-2019-021 Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
SR-FINRA-2019-022 Proposed Rule Change to Amend FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and FINRA Rule 5131 (New Issue Allocations and Distributions)

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