Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number |
Title |
|---|---|
| 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 |
| SR-NASD-2000-042 | Recording and Reporting Requirements for Certain Quotation Data |
| SR-NASD-2004-039 | Reducing the Time for Chairperson Selection |
| SR-NASD-2003-001 | Refund of Member Surcharges in Arbitration |
| SR-NASD-2000-005 | Release of Disciplinary Information |
| SR-NASD-2003-168 | Release of Information Through the Public Disclosure Program |
| SR-NASD-1999-050 | Removal of Address from Forms U-4 and U-5 |
| SR-NASD-2004-011 | Reorganization and Revision of NASD Arbitration Rules Relating to Industry Disputes |
| SR-NASD-2004-013 | Reorganization and Revision of NASD Mediation Rules |
| SR-NASD-2003-158 | Reorganization and Revision of NASD Rules Relating to Customer Disputes |