Rule Filings

Rule Filing Number Titlesort descending
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

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