Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2011-067 Proposed Rule Change to Amend the Industry Code of Arbitration Procedure Relating to Whistleblower Claims in Arbitration
SR-FINRA-2011-066 Proposed Rule Change Relating to the Order Audit Trail System Definitions of Index Arbitrage Trade and Program Trade
SR-FINRA-2011-065 Proposed Rule Change to Update Rule Cross-References within Certain FINRA Rules
SR-FINRA-2011-064 Proposed Rule Change to Adopt FINRA Rule 4524 (Supplemental FOCUS Information) and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Reports
SR-FINRA-2011-063 Proposed Rule Change Relating to Amendments to the Order Audit Trail System Rules
SR-FINRA-2011-062 Proposed Rule Change to Repeal Incorporated NYSE Rule 2A (Jurisdiction)
SR-FINRA-2011-061 Proposed Rule Change to Expand the Exception Relating to Transfers of Proprietary Securities Positions in Connection with Certain Corporate Control Transactions
SR-FINRA-2011-060 Proposed Rule Change to Amend the Implementation Provision in FINRA Rule 1230(b)(6) (Operations Professional)
SR-FINRA-2011-059 Proposed Rule Change to Adopt FINRA Rule 3230 (Telemarketing) in the Consolidated FINRA Rulebook
SR-FINRA-2011-058 Proposed Rule Change to Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
SR-FINRA-2011-057 Proposed Rule Change to Adopt New FINRA Rule 5123 (Private Placements of Securities)
SR-FINRA-2011-056 Proposed Rule Change to Amend Rule 7730 Regarding TRACE Reporting Fees For Transactions in Agency Pass-Through Mortgage-Backed Securities Traded “To Be Announced”
SR-FINRA-2011-055 Proposed Rule Change Relating to Extension of Implementation Date for Expansion of the Order Audit Trail System to All NMS Stocks
SR-FINRA-2011-054 Proposed Rule Change to Update Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and Amend Rule 6440 (Trading and Quotation Halt in OTC Equity Securities)
SR-FINRA-2011-053 Proposed Rule Change to Amend Rule 6730 of the Trade Reporting and Compliance Engine (TRACE) Rules
SR-FINRA-2011-052 Proposed Rule Change to Adopt NASD Rule 2320 (Best Execution and Interpositioning) and IM-2320 as FINRA Rule 5310 in the Consolidated FINRA Rulebook
SR-FINRA-2011-051 Proposed Rule Change Relating to Exemption from Reporting Obligation under Equity Trade Reporting Rules for Certain Alternative Trading Systems
SR-FINRA-2011-050 Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA and NASD Rules
SR-FINRA-2011-049 Proposed Rule Change Relating to Aggregation of Activity of Affiliated Members for Purposes of FINRA/Nasdaq TRF Fees and Credits
SR-FINRA-2011-048 Proposed Rule Change to Revise the Series 38 Examination Program
SR-FINRA-2011-047 Proposed Rule Change to Revise the Series 37 Examination Program
SR-FINRA-2011-046 Proposed Rule Change to Revise the Series 17 Examination Program
SR-FINRA-2011-045 Proposed Rule Change to Revise the Series 7 Examination Program
SR-FINRA-2011-044 Proposed Rule Change to Amend FINRA's Code of Procedure
SR-FINRA-2011-043 Proposed Rule Change to Amend FINRA Rule 0160 (Definitions in FINRA By-Laws)

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