Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2011-015 Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
SR-FINRA-2011-014 Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
SR-FINRA-2011-013 Proposed Rule Change to Establish a Registration Category, Qualification Examination and Continuing Education Requirements for Certain Operations Personnel, and Adopt FINRA Rule 1250 (Continuing Education Requirements) in the Consolidated FINRA Rulebook
SR-FINRA-2011-012 Proposed Rule Change to the FINRA Rule 6700 Series and FINRA Rule 7730 (TRACE)
SR-FINRA-2011-011 Proposed Rule Change to Amend the By-Laws of FINRA Regulation, Inc. with Regard to District Committee Structure and Governance
SR-FINRA-2011-009 Proposed Rule Change to Eliminate Duplicative Filings Under FINRA Rule 9610
SR-FINRA-2011-008 Proposed Rule Change Relating to Rule 6450 (Restrictions on Access Fees)
SR-FINRA-2011-007 Proposed Rule Change to Amend the Customer Code to Correct Cross-References to Rules that were Changed by Another Rule Filing
SR-FINRA-2011-006 Proposed Rule Change to Amend the Customer and Industry Codes of Arbitration Procedure Relating to Motion Practice
SR-FINRA-2011-005 Proposed Rule Change to Amend Rule 13806 to Provide for Appointment of Chair-Qualified Public Arbitrators in Promissory Note Disputes
SR-FINRA-2011-004 Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions in Asset-Backed Securities
SR-FINRA-2011-003 Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
SR-FINRA-2011-002 Proposed Rule Change to Extend a TRACE Pilot Program
SR-FINRA-2011-001 Proposed Rule Change to Provide Additional Time to Report Certain Reportable TRACE Transactions and Waive Certain Transaction Reporting Fees
SR-FINRA-2010-068 Proposed Rule Change to Modify FINRA/Nasdaq Trade Reporting Securities Transaction Credit
SR-FINRA-2010-067 Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions in Asset-Backed Securities
SR-FINRA-2010-066 Proposed Rule Change to Update a Cross-Reference in FINRA Rule 2232 (Customer Confirmations)
SR-FINRA-2010-065 Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
SR-FINRA-2010-064 Proposed Rule Change to Extend the Effective Date of the Trading Pause Pilot
SR-FINRA-2010-063 Proposed Rule Change to Extend to July 16, 2011, the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2010-062 Proposed Rule Change to Extend the Proposed Implementation Period for the Rule Changes Approved in SR-FINRA-2010-042
SR-FINRA-2010-061 Proposed Rule Change to Adopt Rules Governing Guarantees, Carrying Agreements, Security Counts and Supervision of General Ledger Accounts in the Consolidated FINRA Rulebook
SR-FINRA-2010-060 Proposed Rule Change to Update Certain Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SR-FINRA-2010-059 Proposed Rule Change to Adopt FINRA Rule 4360 (Fidelity Bonds) in the Consolidated FINRA Rulebook
SR-FINRA-2010-058 Proposed Rule Change to Delay the Effective Date of the Changes to the FINRA Trade Reporting and Order Audit Trail System Rules Approved in SR-FINRA-2010-043

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