Rule Filings
View the Rule Filing Status Report.
| Rule Filing Number |
Title |
|---|---|
| SR-NASD-2006-069 | Proposed Rule Change Extending the Pilot Relating to Manning Price-Improvement Standards for Decimals. |
| SR-NASD-2006-134 | Proposed Rule Change Extending the Pilot Relating to the Price-Improvement Standards for Decimalized Securities in IM-2110-2 |
| SR-NASD-2007-045 | Proposed Rule Change Extending the Portfolio Margin Pilot Program Set Forth in Rule 2520(g) |
| SR-FINRA-2011-026 | Proposed Rule Change Regarding Cancellation or Rescheduling Fees for Qualification Examinations and Continuing Education Sessions |
| SR-FINRA-2007-007 | Proposed Rule Change Regarding Exemption from TRACE Trade Reporting Requirements |
| SR-NASD-2003-069 | Proposed Rule Change Regarding Failure to Pay Arbitration Awards |
| SR-FINRA-2007-006 | Proposed Rule Change Regarding Historic TRACE Data |
| SR-NASD-2002-180 | Proposed Rule Change Regarding Prohibition Against Guarantees and Sharing in Customer Accounts |
| SR-NASD-2003-074 | Proposed Rule Change Regarding Regulation of Activities of Members Experiencing Financial and/or Operational Difficulties |
| SR-FINRA-2012-036 | Proposed Rule Change Regarding the Implementation Date for Amendments to NASD Rules 1012 and 1017 in SR-FINRA-2012-018 |
| SR-FINRA-2009-057 | Proposed Rule Change Relating the FINRA By-Laws to Amend the Personnel Assessment and Gross Income Assessment |
| SR-FINRA-2009-006 | Proposed Rule Change Relating to a New Limited Representative Registration Category for Investment Banking Professionals |
| SR-NASD-2007-011 | Proposed Rule Change Relating to a New NASD Trade Reporting Facility Established in Conjunction with NYSE Market, Inc. |
| SR-NASD-2006-115 | Proposed Rule Change Relating to a New NASD Trade Reporting Facility Established in Conjunction with the Boston Stock Exchange |
| SR-NASD-2006-108 | Proposed Rule Change Relating to a New NASD Trade Reporting Facility Established in Conjunction with the National Stock Exchange |
| SR-FINRA-2010-038 | Proposed Rule Change Relating to a Stated Interpretation of the Meaning, Administration, and Enforcement of FINRA Rule 11892 and Supplementary Material .01 |
| SR-FINRA-2011-049 | Proposed Rule Change Relating to Aggregation of Activity of Affiliated Members for Purposes of FINRA/Nasdaq TRF Fees and Credits |
| SR-FINRA-2013-052 | Proposed Rule Change Relating to Alternative Display Facility New Entrant |
| SR-FINRA-2016-002 | Proposed Rule Change Relating to Alternative Trading System Volume and Trading Information |
| SR-NASD-2006-070 | Proposed Rule Change Relating to Amendment to the Safe Harbor For Business Expansions |
| SR-NASD-2007-047 | Proposed Rule Change Relating to Amendments to Certain NASD Rules and Repeal of NASD Short Sale Rules in Light of Amendments to SEC Rule 10a-1 and Regulation SHO |
| SR-FINRA-2009-032 | Proposed Rule Change Relating to Amendments to FINRA Rule 2360 Regarding Position Limits for Options on Exchange-traded Funds and Registration Qualifications with Respect to Options Discretionary Accounts |
| SR-FINRA-2014-004 | Proposed Rule Change Relating to Amendments to FINRA Rule 5110 (Corporate Financing Rule—Underwriting Terms and Arrangements) |
| SR-FINRA-2013-027 | Proposed Rule Change Relating to Amendments to FINRA Rules 2360 and 4210 in Connection with OCC Cleared Over-the-Counter Options |
| SR-FINRA-2007-013 | Proposed Rule Change Relating to Amendments to NASD Rule 3210 (Short Sale Delivery Requirements) |