Rule Filings

Rule Filing Number Titlesort descending
SR-FINRA-2014-019 Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement.
SR-FINRA-2011-040 Proposed Rule Change to Amend the Supplementary Material to FINRA Rule 1230(b)(6) (Operations Professional)
SR-FINRA-2013-051 Proposed Rule Change to Amend the Uniform Branch Office Registration Form (Form BR)
SR-FINRA-2012-034 Proposed Rule Change to Amend TRACE Reporting Rules Relating to Transfers of TRACE-Eligible Securities to Create or Redeem Instruments Such as an ETF
SR-FINRA-2007-012 Proposed Rule Change to Amend Trade Reporting Rules to Require Related Market Center Indicator on Certain Non-Tape Reports Submitted to FINRA
SR-FINRA-2008-011 Proposed Rule Change to Amend Trade Reporting Structure and Require Submission of Non-Tape Reports to Identify Other Members for Agency and Riskless Principal Transactions
SR-NASD-2001-053 Proposed Rule Change to Amend Uniform Practice Code Rule 11870(c) and Rule 11870(d)
SR-NASD-2000-068 Proposed Rule Change to Amend Uniform Practice Code Rule 11870(e)
SR-NASD-2005-086 Proposed Rule Change to Amendment to Article VIII of the By-Laws, Relating to District Committees and District Nominating Committees
SR-NASD-2003-093 Proposed Rule Change to By-Laws Regarding the Trading Activity Fee
SR-FINRA-2017-026 Proposed Rule Change to Clarify Application of FINRA Rule 11140 (Transactions in Securities “Ex-Dividend,” “Ex-Rights” or “Ex-Warrants) in Connection with the Implementation of the Shortened Settlement Cycle (T+2) on September 5, 2017
SR-NASD-1998-013 Proposed Rule Change to Clarify That Members of the National Adjudicatory Council May Serve as Panelists in the Appeal or Review of Disciplinary Proceedings
SR-FINRA-2016-021 Proposed Rule Change to Clarify the Application of FINRA Rule 2210 (Communications with the Public) to Debt Research Reports
SR-FINRA-2009-045 Proposed Rule Change to Clarify the Application of Transaction-Related Charges for Trade Reporting to the OTC Reporting Facility Pursuant to FINRA Rule 7710
SR-FINRA-2013-039 Proposed Rule Change to Clarify the Classification and Reporting of Certain Securities to FINRA
SR-FINRA-2016-028 Proposed Rule Change to Clarify the Operation of the Regulation NMS Plan to Address Extraordinary Market Volatility
SR-FINRA-2015-012 Proposed Rule Change to Clarify the Scope of the Definition of “Asset-Backed Security” for Purposes of Reporting to FINRA’s Trade Reporting and Compliance Engine (TRACE) System
SR-FINRA-2009-021 Proposed Rule Change to Codify the Extended Hours Trading Risk Disclosure Obligation as New FINRA Rule 2265
SR-FINRA-2018-019 Proposed Rule Change to Create a $100 Fee and Honorarium for Late Cancellation of a Prehearing Conference
SR-NASD-2005-053 Proposed Rule Change to Delay Implementation Date of Revisions to the Series 4 Examination Program
SR-NASD-2007-039 Proposed Rule Change to Delay Implementation of Certain NASD Rule Changes Approved in SR-NASD-2005-146
SR-FINRA-2007-023 Proposed Rule Change to Delay Implementation of Certain Rule Changes Approved in SR-NASD-2005-146
SR-FINRA-2016-013 Proposed Rule Change to Delay Implementation of FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)
SR-FINRA-2007-040 Proposed Rule Change to Delay the Effective Date of Certain FINRA Rule Changes Approved in SR-NASD-2004-183
SR-FINRA-2008-015 Proposed Rule Change to Delay the Effective Date of Certain FINRA Rule Changes Approved in SR-NASD-2004-183

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