Rule Filings

Rule Filing Number Titlesort descending
SR-NASD-1998-020 Proposed Rule Change to Rule 11860 to Permit Members to Use the Facilities of a Qualified Electronic Vendor for Electronic Confirmation and Affirmation of Depository Eligible Transactions
SR-NASD-2005-011 Proposed Rule Change to Rule 6530 to Limit the Eligibility for Quotation on the OTCBB
SR-NASD-1998-034 Proposed Rule Change to Rule 9514
SR-NASD-2005-067 Proposed Rule Change to Rules 6530 and 7010 to Clarify the Availability of a Process to Review Eligibility Determinations Under Rule 6530 and to Adopt Service Based Fees for Issuers Quoted on the OTC Bulletin Board ("OTCBB")
SR-NASD-2003-109 Proposed Rule Change to Section 4 of Schedule A to the NASD By-Laws
SR-NASD-2003-192 Proposed Rule Change to Section 4 of Schedule A to the NASD By-Laws
SR-NASD-2002-100 Proposed Rule Change to Section 4 of Schedule A to the NASD By-Laws
SR-NASD-2003-194 Proposed Rule Change to Section 5 of Schedule A to the NASD By-Laws
SR-NASD-2003-018 Proposed Rule Change to Section 9 of Schedule A to the NASD By-Laws
SR-NASD-2002-012 Proposed Rule Change to Subordination Agreement Requirements
SR-FINRA-2008-009 Proposed Rule Change to the Code of Arbitration Procedure for Customer Disputes and Industry Disputes to Amend the Chairperson Eligibility Requirements
SR-FINRA-2011-012 Proposed Rule Change to the FINRA Rule 6700 Series and FINRA Rule 7730 (TRACE)
SR-FINRA-2010-066 Proposed Rule Change to Update a Cross-Reference in FINRA Rule 2232 (Customer Confirmations)
SR-FINRA-2010-010 Proposed Rule Change to Update a Cross-Reference within FINRA Rule 0150
SR-FINRA-2010-023 Proposed Rule Change to Update Certain Cross-References and Make a Non-Substantive Technical Change to a FINRA Rule
SR-FINRA-2010-060 Proposed Rule Change to Update Certain Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SR-FINRA-2009-062 Proposed Rule Change to Update Certain Cross-References Within Certain FINRA Rules
SR-FINRA-2009-078 Proposed Rule Change to Update Certain Rule Cross-References and Make Other Non-Substantive Technical Changes to FINRA and NASD Rules
SR-FINRA-2013-001 Proposed Rule Change to Update Cross-References and Make Other Non-Substantive Changes Within FINRA Rules and By-Laws
SR-FINRA-2012-027 Proposed Rule Change to Update Cross-References Within Certain FINRA Rules and to Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules
SR-FINRA-2011-054 Proposed Rule Change to Update Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and Amend Rule 6440 (Trading and Quotation Halt in OTC Equity Securities)
SR-FINRA-2011-050 Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules
SR-FINRA-2014-016 Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SR-FINRA-2011-024 Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SR-FINRA-2017-024 Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules

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