Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number |
Title |
|---|---|
| SR-FINRA-2016-026 | Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules |
| SR-FINRA-2015-027 | Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA 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-2015-050 | Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules |
| SR-FINRA-2010-047 | Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules |
| SR-FINRA-2014-045 | Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules |
| SR-FINRA-2009-046 | Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules |
| SR-FINRA-2008-057 | Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules |
| SR-FINRA-2010-002 | Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules |
| SR-FINRA-2009-005 | Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules |
| 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 |