Rule Filings

Rule Filing Number Titlesort ascending
SR-FINRA-2018-011 Proposed Rule Change to Revise the Private Securities Offerings Representative (Series 82) Examination
SR-FINRA-2014-040 Proposed Rule Change to Revise the Operative Date for Deletion of Rule 7740 Pursuant to SR-FINRA-2014-032
SR-FINRA-2018-006 Proposed Rule Change to Revise the Operations Professional (Series 99) Examination
SR-FINRA-2018-007 Proposed Rule Change to Revise the Investment Company and Variable Contracts Products Representative (Series 6) Examination
SR-FINRA-2018-004 Proposed Rule Change to Revise the Investment Banking Representative (Series 79) Examination
SR-NASD-2007-020 Proposed Rule Change to Revise the Implementation Date of Previously Proposed Amendments to NASD Rules 4632(f) and 6130(e)
SR-FINRA-2014-044 Proposed Rule Change to Revise the Implementation Date for the Supplemental Inventory Schedule Approved Pursuant to SR-FINRA-2014-025
SR-FINRA-2018-008 Proposed Rule Change to Revise the General Securities Representative (Series 7) Examination
SR-NASD-2007-019 Proposed Rule Change to Revise the Effective Date of Amendments to NASD's Order Audit Trail System Rules
SR-FINRA-2018-009 Proposed Rule Change to Revise the Direct Participation Programs Representative (Series 22) Examination
SR-NASD-2005-079 Proposed Rule change to Revise Rule 10322 of the NASD Code of Arbitration Procedure, which Pertains to Subpoenas and the Power to Direct Appearances
SR-FINRA-2009-077 Proposed Rule Change to Restructure Quotation Collection and Dissemination for OTC Equity Securities
SR-NASD-2005-070 Proposed Rule Change to Rescind the Pilot Rule in IM-10100(f) of the NASD Code of Arbitration Procedure Relating to the Waiver of the California Ethics Standards for Neutral Arbitrators in Contractual Arbitration
SR-FINRA-2016-007 Proposed Rule Change to Require Registration as Securities Traders of Associated Persons Primarily Responsible for the Design, Development or Significant Modification of Algorithmic Trading Strategies
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-2009-061 Proposed Rule Change to Require Members to Report OTC Transactions in Equity Securities Within 30 Seconds of Execution
SR-FINRA-2013-013 Proposed Rule Change to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution
SR-FINRA-2015-026 Proposed Rule Change to Require an Indicator When a TRACE Report Does Not Reflect a Commission or Mark-up/Mark-down
SR-FINRA-2012-048 Proposed Rule Change to Repeal the Changes Described in SR-FINRA-2011-019
SR-NASD-2005-124 Proposed Rule Change to Repeal Rule 6440(f)
SR-FINRA-2009-087 Proposed Rule Change to Repeal NASD Rules 2760 and 2780, Incorporated NYSE Rules 2B and 411, and the Interpretation to Incorporated NYSE Rule 411(a)(ii)(5) as Part of the Process of Developing the Consolidated FINRA Rulebook
SR-NASD-2004-175 Proposed Rule Change to Repeal NASD Rule 3110(b)(1), Rule 3210, Rule 3370(b) and Rule 11830 in Light of SEC Regulation SHO
SR-FINRA-2009-093 Proposed Rule Change to Repeal NASD Rule 2450, NASD Interpretive Material 2830-2 and Incorporated NYSE Rule 413 as Part of the Process of Developing the Consolidated FINRA Rulebook
SR-FINRA-2008-029 Proposed Rule Change to Repeal NASD Rule 1130 and Incorporated NYSE Rules 405A, 440F, 440G, and 477 as Part of the Process of Developing the Consolidated FINRA Rulebook
SR-FINRA-2009-038 Proposed Rule Change to Repeal Incorporated NYSE Rules 134 and 440I as Part of the Process to Develop the Consolidated FINRA Rulebook

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