Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number |
Title |
|---|---|
| SR-FINRA-2011-030 | Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules |
| SR-FINRA-2012-007 | Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules |
| SR-FINRA-2011-065 | Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules |
| SR-FINRA-2013-053 | Proposed Rule Change to Update the Rules Governing the Alternative Display Facility |
| SR-FINRA-2017-022 | Proposed Rule Change to Waive Fees under FINRA Rule 7730 (Trade Reporting and Compliance Engine (“TRACE”)) |
| SR-FINRA-2015-007 | Proposed Rule Change to Waive Trade Reporting Fees Under Rule 7710 Due to an OTC Reporting Facility Systems Issue |
| SR-FINRA-2008-031 | Proposed Rule Change will Amend the Uniform Submission Agreement |
| SR-FINRA-2009-072 | Proposed Rule Changes to Amend Rules 12307 and 13307 of the Customer and Industry Codes to Clarify the Date of Filing of an Arbitration Claim Once a Deficiency is Corrected |
| SR-NASD-1998-032 | Proposed Rule Excluding Research Reports from Filing Requirements |
| SR-FINRA-2018-003 | Proposed Rule Filing Relating to Simplified Arbitration |
| SR-FINRA-2009-023 | Proposed Rule Filing to Adopt FINRA Rule 2320 (Variable Contracts of an Insurance Company) in the Consolidated FINRA Rulebook |
| SR-NASD-2003-140 | Proposed Rule Governing Allocations and Distributions of Shares in Initial Public Offerings |
| SR-NASD-1998-035 | Proposed Rule Relating to Books and Records |
| SR-NASD-1998-028 | Proposed Rule Relating to Research Reports Approved by NYSE Supervisory Analysts |
| SR-NASD-1998-014 | Proposed Rule Relating to Sales Charges and Prospectus Disclosure for Mutual Funds and Variable Contracts |
| SR-NASD-1998-029 | Proposed Rule Relating to Standards for Individual Correspondence |
| SR-NASD-1998-011 | Proposed Rule Relating to the Presentation of Mutual Fund and Variable Contract Related Performance Information |
| SR-FINRA-2016-029 | Proposed Rule Relating to use of the Dispute Resolution Party Portal in Arbitration and Mediation |
| SR-FINRA-2008-014 | Proposed Rule to Amend Certain NYSE Rules to Reduce Regulatory Duplication and Relieve Firms That are Members of Both FINRA and the NYSE of Conflicting or Unneccesary Regulatory Burdens in the Interim Period Before a Consolidated FINRA Rulebook is Completed |
| SR-FINRA-2008-036 | Proposed Rule to Amend Certain NYSE Rules to Reduce Regulatory Duplication and Relieve Firms that are Members of Both FINRA and the NYSE of Conflicting or Unneccesary Regulatory Burdens in the Interim Period Before a Consolidated FINRA Rulebook is Completed |
| SR-FINRA-2015-041 | Proposed Rule to Establish Fees for Funding Portals |
| SR-FINRA-2013-042 | Proposed Rule to Require Alternative Trading Systems to Report Volume Information to FINRA and Use Unique Market Participant Identifiers |
| SR-NASD-2002-162 | Proposed Supervisory Control Amendments |
| SR-NASD-2003-025 | Proposed Temporary Fee Reductions and Extension on Pilot Basis of NASD Rule 7010(k) Relating to Fees for the Trade Reporting and Compliance Engine (TRACE) |
| SR-NASD-1998-018 | Qualified Immunity in Arbitration Proceedings for Statements Made on Forms U-4 and U-5 |