Rule Filings

Rule Filing Number Titlesort descending
SR-FINRA-2017-025 Proposed Rule Change Relating to Revisions to the Definition of Non-public Arbitrator
SR-FINRA-2014-028 Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator
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
SR-FINRA-2016-045 Proposed Rule Change Relating to Rule 4554 Reporting Requirements for Alternative Trading Systems
SR-FINRA-2011-008 Proposed Rule Change Relating to Rule 6450 (Restrictions on Access Fees)
SR-FINRA-2019-013 Proposed Rule Change Relating to Rules Addressing the Regulation NMS Plan to Address Extraordinary Market Volatility
SR-FINRA-2008-017 Proposed Rule Change Relating to Section 1(a) of Article III of the FINRA By-Laws
SR-NASD-2004-129 Proposed Rule Change Relating to Section 3 of Schedule A to the NASD By-Laws; Filed for Immediate Effectiveness
SR-FINRA-2014-033 Proposed Rule Change Relating to Serving Electronically Written Decisions on Members Seeking Exemptive Relief Under NASD Rule 1070
SR-FINRA-2018-018 Proposed Rule Change Relating to Statutory Disqualification Application Fees
SR-NASD-2006-071 Proposed Rule Change Relating to Technical Amendments to Rule 3210
SR-FINRA-2018-036 Proposed Rule Change Relating to Test Results Information on the Content Outlines of FINRA Qualification Examinations
SR-FINRA-2008-059 Proposed Rule Change Relating to the Adoption of FINRA Rule 2080, FINRA Rule 2310, FINRA Rule 4551, and FINRA Rule 2266 in the Consolidated FINRA Rulebook
SR-FINRA-2009-016 Proposed Rule Change Relating to the Adoption of FINRA Rule 2080, FINRA Rule 2310, FINRA Rule 4551, and FINRA Rule 2266 in the Consolidated FINRA Rulebook
SR-FINRA-2008-052 Proposed Rule Change Relating to the Adoption of FINRA Rule 2140 (Interfering With the Transfer of Customer Accounts in the Context of Employment Disputes) in the Consolidated FINRA Rulebook
SR-FINRA-2008-027 Proposed Rule Change Relating to the Adoption of FINRA Rule 3220 (Influencing or Rewarding Employees of Others) and FINRA Rule 2070 (Transactions Involving FINRA Employees) in the Consolidated FINRA Rulebook
SR-FINRA-2009-043 Proposed Rule Change Relating to the Application of Transaction-Related Charges for Trade Reporting to the OTC Reporting Facility
SR-FINRA-2014-036 Proposed Rule Change Relating to the Composition of Hearing Panels and Extended Hearing Panels in Disciplinary Proceedings
SR-FINRA-2014-024 Proposed Rule Change Relating to the Definition of “Reporting Member” in the Order Audit Trail System Rules
SR-FINRA-2018-013 Proposed Rule Change Relating to the Establishment of a Second Trade Reporting Facility in Conjunction with Nasdaq, Inc.
SR-FINRA-2010-044 Proposed Rule Change Relating to the Expansion of the Order Audit Trail System to All NMS Stocks
SR-FINRA-2009-010 Proposed Rule Change Relating to the Expansion of TRACE to Include Agency Debt Securities and Primary Market Transactions
SR-FINRA-2009-065 Proposed Rule Change Relating to the Expansion of TRACE to Include Asset-Backed Securities, Mortgage-Backed Securities and Other Similar Securities
SR-FINRA-2008-065 Proposed Rule Change Relating to the Extension of a Pilot Program Under Trade Reporting and Compliance Engine
SR-FINRA-2016-025 Proposed Rule Change Relating to the Fee for the Regulatory Element of Continuing Education

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