Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2015-053 Proposed Rule Change to Amend Rule 7620A Relating to FINRA/Nasdaq Trade Reporting Facility Fees
SR-FINRA-2015-052 Proposed Rule Change to Amend NASD Rules 1022 (Categories of Principal Registration) and 1032 (Categories of Representative Registration)
SR-FINRA-2015-051 Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
SR-FINRA-2015-050 Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SR-FINRA-2015-049 Proposed Rule Change to Amend Rule 7620A Relating to FINRA/Nasdaq Trade Reporting Facility Fees
SR-FINRA-2015-048 Proposed Rule Change to Adopt FINRA Rule 6191(b) and Amend FINRA Rule 7440 to Implement the Data Collection Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program
SR-FINRA-2015-047 Proposed Rule Change to Adopt FINRA Rule 6191(a) to Implement the Quoting and Trading Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program
SR-FINRA-2015-046 Proposed Rule Change Relating to Mandatory Participation in Business Continuity and Disaster Recovery Testing under Regulation SCI
SR-FINRA-2015-045 Proposed Rule Change to Amend FINRA Rule 7640A (Data Products Offered By Nasdaq)
SR-FINRA-2015-044 Proposed Rule Change to Establish An Examination Fee for the Securities Trader Qualification Examination (Series 57)
SR-FINRA-2015-043 Proposed Rule Change Relating to the Reporting of OTC Transactions in Exchange-Traded Managed Fund Shares (NextShares) to FINRA
SR-FINRA-2015-042 Proposed Rule Change Relating to the New Securities Trader Qualification Examination (Series 57)
SR-FINRA-2015-041 Proposed Rule to Establish Fees for Funding Portals
SR-FINRA-2015-040 Proposed Rule Change to Adopt the Funding Portal Rules and Related Forms and FINRA Rule 4518
SR-FINRA-2015-039 Proposed Rule Change Relating to the Series 28 Examination Program
SR-FINRA-2015-038 Proposed Rule Change Relating to the Series 27 Examination Program
SR-FINRA-2015-037 Proposed Rule Change to Extend the TRACE Pilot Program in FINRA Rule 6730(e)(4)
SR-FINRA-2015-036 Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for the TBA Market
SR-FINRA-2015-035 Proposed Rule Change Relating to the Submission of “Clearing-Only, Non-Regulatory Reports” to the FINRA Equity Trade Reporting Facilities
SR-FINRA-2015-034 Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. into and with FINRA Regulation, Inc.
SR-FINRA-2015-033 Proposed Rule Change to Amend FINRA Rule 0150 to Apply FINRA Rule 2121 and its Supplementary Material .01 and .02 to Transactions in Exempted Securities That Are Government Securities
SR-FINRA-2015-032 Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Reduce the Waiting Period for the Release of Information Reported on Form U5
SR-FINRA-2015-031 Proposed Rule Change to Establish An Administration and Delivery Fee for the Municipal Advisor Representative Examination (“Series 50 examination”)
SR-FINRA-2015-030 Proposed Rule Change to Adopt FINRA Rule 3280 (Private Securities Transactions of an Associated Person) in the Consolidated FINRA Rulebook
SR-FINRA-2015-029 Proposed Rule Change to Adopt FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) in the Consolidated FINRA Rulebook

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