Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2013-015 Proposed Rule Change to Amend Section 4 of Schedule A to the FINRA By-Laws to Adopt a Waiver Process for the Continuing Membership Application Fee and Amend NASD Rules 1013 and 1017 to Provide for a Refund of the Application Fee for the Withdrawal of a New Member or Continuing Membership Application
SR-FINRA-2013-014 Proposed Rule Change Relating to the General Securities Sales Supervisor (Series 9/10) Registration Category
SR-FINRA-2013-013 Proposed Rule Change to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution
SR-FINRA-2013-012 Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Adopt a New Provision in Connection with the Limit Up-Limit Down Plan
SR-FINRA-2013-011 Proposed Rule Change to Delay the Operative Date of FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks)
SR-FINRA-2013-010 Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
SR-FINRA-2013-009 Proposed Rule Change to Modify the “Late Report—T+N” Fee Applicable to Members Using the FINRA/Nasdaq Trade Reporting Facility
SR-FINRA-2013-008 Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
SR-FINRA-2013-006 Proposed Rule Change Relating to FINRA Rule 4530 (Reporting Requirements)
SR-FINRA-2013-005 Proposed Rule Change to Adopt Interim Form for Funding Portals Under the Jumpstart Our Business Startups Act
SR-FINRA-2013-004 Proposed Rule Change to Delay the Implementation Date of FINRA Rule 5350 (Stop Orders)
SR-FINRA-2013-003 Proposed Rule Change to Amend FINRA's Customer and Industry Codes of Arbitration Procedure to Revise the Public Arbitrator Definition
SR-FINRA-2013-002 Proposed Rule Change to Amend FINRA Rule 2267 (Investor Education and Protection)
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-2012-056 Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2012-055 Proposed Rule Change To Extend the Date by Which Eligible Registrants Must Complete a Firm-Element Continuing Education Program To Qualify To Engage in a Security Futures Business
SR-FINRA-2012-054 Proposed Rule Change to Amend FINRA Rule 9120 (Definitions) to Add the Term "Chief Legal Officer" to the Definition of "General Counsel"
SR-FINRA-2012-053 Proposed Rule Change Relating to Establishing Optional TRACE Data Delivery Services and Related Fees
SR-FINRA-2012-052 Proposed Rule Change to Require Members to Report the Factor to TRACE in Asset-Backed Security Transactions (except if traded TBA), in the Limited Instances When Members Effect Such Transactions as Agent and Charge a Commission
SR-FINRA-2012-051 Proposed Rule Change Relating to the Waiver of Certain TRACE Late Trade Reporting Fees Due to Hurricane Sandy
SR-FINRA-2012-050 Proposed Rule Change to Adopt a Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
SR-FINRA-2012-049 Proposed Rule Change to Amend FINRA Rule 7730(c) to establish a Limited Waiver of the TRACE Professional Real-Time Data Display Fee on a Pilot Basis
SR-FINRA-2012-048 Proposed Rule Change to Repeal the Changes Described in SR-FINRA-2011-019
SR-FINRA-2012-047 Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4)
SR-FINRA-2012-046 Proposed Rule Change to Amend the Definition of "Money Market Instrument" in FINRA Rule 6710(o)

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