Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2017-009 Proposed Rule Change to Amend the Customer And Industry Codes to Expedite List Selection in Arbitration
SR-FINRA-2017-008 Proposed Rule Change Relating to the Private Placement Filer Form under FINRA Rules 5122 and 5123
SR-FINRA-2017-007 Proposed Rule Change to Adopt Consolidated FINRA Registration Rules, Restructure the Representative-Level Qualification Examination Program and Amend the Continuing Education Requirements
SR-FINRA-2017-006 Proposed Rule Change to Amend Rule 6191 to Implement an Anonymous, Grouped Masking Methodology for Over-the-Counter Activity in Connection with Website Data Publication of Appendix B Data Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
SR-FINRA-2017-005 Proposed Rule Change to Amend FINRA Rule 6191 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
SR-FINRA-2017-004 Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SR-FINRA-2017-003 Proposed Rule Change to Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule)
SR-FINRA-2017-002 Proposed Rule Change to Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule)
SR-FINRA-2017-001 Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2016-048 Proposed Rule Change to Eliminate Fees for Historical Trade Data Accessed Through the FINRA ADDS Website
SR-FINRA-2016-047 Proposed Rule Change to Amend FINRA Rules to Conform to the Commission’s Proposed Amendment to SEA Rule 15c6-1(a) and the Industry-led Initiative to Shorten the Standard Settlement Cycle for Most Broker-dealer Transactions from T+3 to T+2
SR-FINRA-2016-046 Proposed Rule Change Relating to Reporting Transactions in U.S. Treasury Securities to the Trade Reporting and Compliance Engine
SR-FINRA-2016-045 Proposed Rule Change Relating to Rule 4554 Reporting Requirements for Alternative Trading Systems
SR-FINRA-2016-044 Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
SR-FINRA-2016-043 Proposed Rule Change to Provide a Process for an Expedited Proceeding and Adopt a Rule to Prohibit Disruptive Quoting and Trading Activity
SR-FINRA-2016-042 Proposed Rule Change to Amend FINRA Rule 6191 to Modify the Website Data Publication Requirements Relating to the Regulation NMS Plan to Implement a Tick Size Pilot Program
SR-FINRA-2016-041 Proposed Rule Change Relating to the Implementation Date for Alternative Trading Systems to Report Sequence Numbers Under Rule 4554
SR-FINRA-2016-040 Proposed Rule Change to Amend FINRA Rule 7730 to Establish a Fee for the Academic Corporate Bond TRACE Data Product
SR-FINRA-2016-039 Proposed Rule Change to Adopt FINRA Rule 2165 (Financial Exploitation of Specified Adults)
SR-FINRA-2016-038 Proposed Rule Change to Amend FINRA Rule 6191 to Modify the Quoting and Trading Requirements Relating to the Block Size Exception and the Use of Intermarket Sweep Orders and Trade-at Intermarket Sweep Orders
SR-FINRA-2016-037 Proposed Rule Change to Modify Fees and Transaction Credits for the FINRA/NYSE Trade Reporting Facility
SR-FINRA-2016-036 Proposed Rule Change to Adopt NASD Interpretive Material 2210-2 as FINRA Rule 2211 (Communications with the Public About Variable Life Insurance and Variable Annuities) in the Consolidated FINRA Rulebook
SR-FINRA-2016-035 Proposed Rule Change to Amend FINRA Rule 6191 Relating to the Data Collection Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program
SR-FINRA-2016-034 Proposed Rule Change to Extend the Effective Date of SR-FINRA-2016-028
SR-FINRA-2016-033 Proposed Rule Change Relating to Broadening Chairperson Eligibility in Arbitration

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