Rule Filings

Rule Filing Number Titlesort descending
SR-FINRA-2016-015 Proposed Rule Change to Provide that Absent Specification to the Contrary in an Award, When Arbitrators Order Opposing Parties to Pay Each Other Damages, the Monetary Awards Shall Offset.
SR-NASD-2005-032 Proposed Rule Change to Provide Written Explanations in Arbitration Awards Upon the Request of Customers or Associated Persons
SR-FINRA-2010-051 Proposed Rule Change to Reconcile Certain Amendments Approved Pursuant to SR-FINRA-2009-061 and SR-FINRA-2010-003
SR-FINRA-2016-005 Proposed Rule Change to Reduce the Synchronization Tolerance for Computer Clocks that are Used to Record Events in NMS Securities and OTC Equity Securities
SR-NASD-2005-087 Proposed Rule Change to Reflect Nasdaq's Separation from NASD Upon Nasdaq's Anticipated Approval as a National Securities Exchange
SR-FINRA-2008-002 Proposed Rule Change to Reflect that the FINRA/NYSE Trade Reporting Facility Does Not Support Three-Party Trade Report Functionality
SR-FINRA-2008-066 Proposed Rule Change to Reflect the Closing of the FINRA/NSX Trade Reporting Facility on December 31, 2008
SR-FINRA-2007-016 Proposed Rule Change to Reflect the Closing of the NASD/BSE Trade Reporting Facility
SR-NASD-2006-104 Proposed Rule Change to Reflect the Complete Separation of Nasdaq from NASD upon the Operation of Nasdaq as a National Securities Exchange for All Exchange-Listed Securities
SR-FINRA-2010-043 Proposed Rule Change to Reinstitute Short Exempt Marking for Trade Reporting and OATS
SR-FINRA-2011-019 Proposed Rule Change to Rename the OTC Bulletin Board in the FINRA Rulebook
SR-FINRA-2011-062 Proposed Rule Change to Repeal Incorporated NYSE Rule 2A (Jurisdiction)
SR-FINRA-2010-005 Proposed Rule Change to Repeal Incorporated NYSE Rule 405(4) Common Sales Accounts
SR-FINRA-2009-038 Proposed Rule Change to Repeal Incorporated NYSE Rules 134 and 440I as Part of the Process to Develop the Consolidated FINRA Rulebook
SR-FINRA-2008-029 Proposed Rule Change to Repeal NASD Rule 1130 and Incorporated NYSE Rules 405A, 440F, 440G, and 477 as Part of the Process of Developing the Consolidated FINRA Rulebook
SR-FINRA-2009-093 Proposed Rule Change to Repeal NASD Rule 2450, NASD Interpretive Material 2830-2 and Incorporated NYSE Rule 413 as Part of the Process of Developing the Consolidated FINRA Rulebook
SR-NASD-2004-175 Proposed Rule Change to Repeal NASD Rule 3110(b)(1), Rule 3210, Rule 3370(b) and Rule 11830 in Light of SEC Regulation SHO
SR-FINRA-2009-087 Proposed Rule Change to Repeal NASD Rules 2760 and 2780, Incorporated NYSE Rules 2B and 411, and the Interpretation to Incorporated NYSE Rule 411(a)(ii)(5) as Part of the Process of Developing the Consolidated FINRA Rulebook
SR-NASD-2005-124 Proposed Rule Change to Repeal Rule 6440(f)
SR-FINRA-2012-048 Proposed Rule Change to Repeal the Changes Described in SR-FINRA-2011-019
SR-FINRA-2015-026 Proposed Rule Change to Require an Indicator When a TRACE Report Does Not Reflect a Commission or Mark-up/Mark-down
SR-FINRA-2013-013 Proposed Rule Change to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution
SR-FINRA-2009-061 Proposed Rule Change to Require Members to Report OTC Transactions in Equity Securities Within 30 Seconds of Execution
SR-FINRA-2012-052 Proposed Rule Change to Require Members to Report the Factor to TRACE in Asset-Backed Security Transactions (except if traded TBA), in the Limited Instances When Members Effect Such Transactions as Agent and Charge a Commission
SR-FINRA-2016-007 Proposed Rule Change to Require Registration as Securities Traders of Associated Persons Primarily Responsible for the Design, Development or Significant Modification of Algorithmic Trading Strategies

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