Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2013-009 Proposed Rule Change to Modify the “Late Report—T+N” Fee Applicable to Members Using the FINRA/Nasdaq Trade Reporting Facility
SR-FINRA-2013-008 Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
SR-FINRA-2013-006 Proposed Rule Change Relating to FINRA Rule 4530 (Reporting Requirements)
SR-FINRA-2013-005 Proposed Rule Change to Adopt Interim Form for Funding Portals Under the Jumpstart Our Business Startups Act
SR-FINRA-2013-004 Proposed Rule Change to Delay the Implementation Date of FINRA Rule 5350 (Stop Orders)
SR-FINRA-2013-003 Proposed Rule Change to Amend FINRA's Customer and Industry Codes of Arbitration Procedure to Revise the Public Arbitrator Definition
SR-FINRA-2013-002 Proposed Rule Change to Amend FINRA Rule 2267 (Investor Education and Protection)
SR-FINRA-2013-001 Proposed Rule Change to Update Cross-References and Make Other Non-Substantive Changes Within FINRA Rules and By-Laws
SR-FINRA-2012-056 Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2012-055 Proposed Rule Change To Extend the Date by Which Eligible Registrants Must Complete a Firm-Element Continuing Education Program To Qualify To Engage in a Security Futures Business
SR-FINRA-2012-054 Proposed Rule Change to Amend FINRA Rule 9120 (Definitions) to Add the Term "Chief Legal Officer" to the Definition of "General Counsel"
SR-FINRA-2012-053 Proposed Rule Change Relating to Establishing Optional TRACE Data Delivery Services and Related Fees
SR-FINRA-2012-052 Proposed Rule Change to Require Members to Report the Factor to TRACE in Asset-Backed Security Transactions (except if traded TBA), in the Limited Instances When Members Effect Such Transactions as Agent and Charge a Commission
SR-FINRA-2012-051 Proposed Rule Change Relating to the Waiver of Certain TRACE Late Trade Reporting Fees Due to Hurricane Sandy
SR-FINRA-2012-050 Proposed Rule Change to Adopt a Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)
SR-FINRA-2012-049 Proposed Rule Change to Amend FINRA Rule 7730(c) to establish a Limited Waiver of the TRACE Professional Real-Time Data Display Fee on a Pilot Basis
SR-FINRA-2012-048 Proposed Rule Change to Repeal the Changes Described in SR-FINRA-2011-019
SR-FINRA-2012-047 Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4)
SR-FINRA-2012-046 Proposed Rule Change to Amend the Definition of "Money Market Instrument" in FINRA Rule 6710(o)
SR-FINRA-2012-045 Proposed Rule Change to Amend NASD Rule 2711 to Conform with the Requirements of the Jumpstart Our Business Startups Act and Related Changes
SR-FINRA-2012-044 Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions in Security Futures
SR-FINRA-2012-043 Proposed Rule Change to Delete FINRA Rule 7640A (Late Fees)
SR-FINRA-2012-042 Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA-Backed ABS Transactions
SR-FINRA-2012-041 Proposed Rule Change to Amend FINRA's Customer and Industry Codes Of Arbitration Procedure Relating to Subpoenas and to Arbitrator Authority to Direct Appearances of Associated Person Witnesses and Production Of Documents Without Subpoenas
SR-FINRA-2012-040 Proposed Rule Change to Amend FINRA Dispute Resolution’s By-Laws to Clarify That Services Provided by Mediators Should Not Cause Them to Be Classified as Industry Members under the By-Laws

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