Rule Filings

Rule Filing Number Titlesort descending
SR-FINRA-2010-056 Proposed Rule Change to Adopt FINRA Rule 1113 (Restriction Pertaining to New Member Applications) and to Amend the FINRA Rule 9520 Series (Eligibility Proceedings)
SR-FINRA-2009-009 Proposed Rule Change to Adopt FINRA Rule 1122 (Filing of Misleading Information as to Membership or Registration) in the Consolidated FINRA Rulebook
SR-FINRA-2009-068 Proposed Rule Change to Adopt FINRA Rule 11890 Series (Clearly Erroneous Transactions) in the Consolidated FINRA Rulebook
SR-FINRA-2008-028 Proposed Rule Change to Adopt FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade), FINRA Rule 2020 (Use of Manipulative, Deceptive or Other Fraudulent Devices), and FINRA Rule 5150 (Fairness Opinions) in the Consolidated FINRA Rulebook
SR-FINRA-2015-056 Proposed Rule Change to Adopt FINRA Rule 2030 and FINRA Rule 4580 to Establish “Pay-To-Play” and Related Rules
SR-FINRA-2014-020 Proposed Rule Change to Adopt FINRA Rule 2081 (Prohibited Conditions Relating to Expungement of Customer Dispute Information)
SR-FINRA-2014-023 Proposed Rule Change to Adopt FINRA Rule 2121 (Fair Prices and Commissions), Supplementary Material .01 (Mark-Up Policy) and Supplementary Material .02 (Additional Mark-Up Policy For Transactions in Debt Securities, Except Municipal Securities) in the Consolidated FINRA Rulebook
SR-FINRA-2014-049 Proposed Rule Change to Adopt FINRA Rule 2122 (Charges for Services Performed) in the Consolidated FINRA Rulebook.
SR-FINRA-2009-014 Proposed Rule Change to Adopt FINRA Rule 2150 (Improper Use of Customers' Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts) in the Consolidated FINRA Rule Book
SR-FINRA-2016-039 Proposed Rule Change to Adopt FINRA Rule 2165 (Financial Exploitation of Specified Adults)
SR-FINRA-2009-070 Proposed Rule Change to Adopt FINRA Rule 2211 (Communications with the Public About Variable Insurance Products)
SR-FINRA-2009-028 Proposed Rule Change to Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook
SR-FINRA-2009-058 Proposed Rule Change to Adopt FINRA Rule 2232 (Customer Confirmations) in the Consolidated FINRA Rulebook
SR-FINRA-2014-047 Proposed Rule Change to Adopt FINRA Rule 2241 (Research Analysts and Research Reports) in the Consolidated FINRA Rulebook
SR-FINRA-2014-048 Proposed Rule Change to Adopt FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)
SR-FINRA-2014-010 Proposed Rule Change to Adopt FINRA Rule 2243 (Disclosure and Reporting Obligations Related to Recruitment Practices)
SR-FINRA-2009-066 Proposed Rule Change to Adopt FINRA Rule 2251 (Forwarding of Proxy and Other Issuer-Related Materials) in the Consolidated FINRA Rulebook
SR-FINRA-2009-081 Proposed Rule Change to Adopt FINRA Rule 2261 (Disclosure of Financial Condition) in the Consolidated FINRA Rulebook
SR-FINRA-2009-052 Proposed Rule Change to Adopt FINRA Rule 2264 (Margin Disclosure Statement) in the Consolidated FINRA Rulebook
SR-FINRA-2008-062 Proposed Rule Change to Adopt FINRA Rule 2267 (Investor Education and Protection) in the Consolidated FINRA Rulebook
SR-FINRA-2015-009 Proposed Rule Change to Adopt FINRA Rule 2272 to Govern Sales or Offers of Sales of Securities on the Premises of Any Military Installation to Members of the U.S. Armed Forces or their Dependents
SR-FINRA-2015-057 Proposed Rule Change to Adopt FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers
SR-FINRA-2009-083 Proposed Rule Change to Adopt FINRA Rule 2330 (Members' Responsibilities Regarding Deferred Variable Annuities) in the Consolidated FINRA Rulebook
SR-FINRA-2009-018 Proposed Rule Change to Adopt FINRA Rule 2342 ("Breakpoint" Sales) in the Consolidated FINRA Rulebook
SR-FINRA-2009-040 Proposed Rule Change to Adopt FINRA Rule 2380 to Limit the Leverage Ratio Offered by Broker-Dealers for Certain Forex Transactions

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