Rule Filings

Rule Filing Number Titlesort descending
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
SR-NASD-2005-070 Proposed Rule Change to Rescind the Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Relating to the Waiver of the California Ethics Standards for Neutral Arbitrators in Contractual Arbitration
SR-FINRA-2009-077 Proposed Rule Change to Restructure Quotation Collection and Dissemination for OTC Equity Securities
SR-NASD-2005-079 Proposed Rule change to Revise Rule 10322 of the NASD Code of Arbitration Procedure, which Pertains to Subpoenas and the Power to Direct Appearances
SR-FINRA-2018-009 Proposed Rule Change to Revise the Direct Participation Programs Representative (Series 22) Examination
SR-NASD-2007-019 Proposed Rule Change to Revise the Effective Date of Amendments to NASD's Order Audit Trail System Rules
SR-FINRA-2018-008 Proposed Rule Change to Revise the General Securities Representative (Series 7) Examination
SR-FINRA-2014-044 Proposed Rule Change to Revise the Implementation Date for the Supplemental Inventory Schedule Approved Pursuant to SR-FINRA-2014-025
SR-NASD-2007-020 Proposed Rule Change to Revise the Implementation Date of Previously Proposed Amendments to NASD Rules 4632(f) and 6130(e)
SR-FINRA-2018-004 Proposed Rule Change to Revise the Investment Banking Representative (Series 79) Examination
SR-FINRA-2018-007 Proposed Rule Change to Revise the Investment Company and Variable Contracts Products Representative (Series 6) Examination
SR-FINRA-2018-006 Proposed Rule Change to Revise the Operations Professional (Series 99) Examination
SR-FINRA-2014-040 Proposed Rule Change to Revise the Operative Date for Deletion of Rule 7740 Pursuant to SR-FINRA-2014-032
SR-FINRA-2018-011 Proposed Rule Change to Revise the Private Securities Offerings Representative (Series 82) Examination
SR-FINRA-2018-005 Proposed Rule Change to Revise the Research Analyst (Series 86 and 87) Examinations
SR-FINRA-2018-010 Proposed Rule Change to Revise the Securities Trader (Series 57) Examination
SR-FINRA-2013-032 Proposed Rule Change to Revise the Series 16 Examination Program
SR-FINRA-2011-046 Proposed Rule Change to Revise the Series 17 Examination Program
SR-FINRA-2014-034 Proposed Rule Change to Revise the Series 23 Examination Program
SR-FINRA-2014-035 Proposed Rule Change to Revise the Series 24 Examination Program
SR-FINRA-2014-015 Proposed Rule Change to Revise the Series 26 Examination Program
SR-FINRA-2011-047 Proposed Rule Change to Revise the Series 37 Examination Program
SR-FINRA-2011-048 Proposed Rule Change to Revise the Series 38 Examination Program
SR-FINRA-2015-018 Proposed Rule Change to Revise the Series 4 Examination Program
SR-FINRA-2013-028 Proposed Rule Change to Revise the Series 55 Examination Program

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