Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2010-029 Proposed Rule Change to Adopt FINRA Rule 5141 (Sale of Securities in a Fixed Price Offering) in the Consolidated FINRA Rulebook
SR-FINRA-2010-028 Proposed Rule Change to Adopt FINRA Rule 4320 (Short Sale Delivery Requirements) in the Consolidated FINRA Rulebook
SR-FINRA-2010-027 Proposed Rule Change Relating to the Restated Certificate of Incorporation of Financial Industry Regulatory Authority, Inc.
SR-FINRA-2010-026 Proposed Rule Change to Adopt FINRA Rule 5121 (Public Offerings of Securities With Conflicts of Interest) in the Consolidated FINRA Rulebook
SR-FINRA-2010-025 Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility)
SR-FINRA-2010-024 Proposed Rule Change to Adopt FINRA Rules 4210, 4220 and 4230 in the Consolidated FINRA Rulebook
SR-FINRA-2010-023 Proposed Rule Change to Update Certain Cross-References and Make a Non-Substantive Technical Change to a FINRA Rule
SR-FINRA-2010-022 Proposed Rule Change to Amend Rules 12403 and 12404 of the Customer Code of Arbitration Procedure and Rules 13403 and 13404 of the Industry Code of Arbitration Procedure
SR-FINRA-2010-021 Proposed Rule Change to Amend FINRA Rule 8210 to Require Encryption of Information Provided via Portable Media Device
SR-FINRA-2010-020 Proposed Rule Change Relating to the Trade Reporting Facility Limited Liability Company Agreements
SR-FINRA-2010-019 Proposed Rule Change to Extend the Implementation Period for the Rule Changes Approved in SR-FINRA-2009-065
SR-FINRA-2010-018 Proposed Rule Change to Adopt NASD Rule 2212 (Telemarketing) as FINRA Rule 3230 in the Consolidated FINRA Rulebook
SR-FINRA-2010-017 Proposed Rule Change to Allow FINRA Members to Use the OTC Reporting Facility to Transfer Transaction Fees Charged by One Member to Another Member
SR-FINRA-2010-016 Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws
SR-FINRA-2010-015 Proposed Rule Change to Amend Section 4(c) of Schedule A to the FINRA By-Laws
SR-FINRA-2010-014 Proposed Rule Change Relating to FINRA Rule 9554 to Eliminate Explicitly the Inability-to-Pay Defense in the Expedited Proceedings Context
SR-FINRA-2010-013 Proposed Rule Change to Modify FINRA/Nasdaq Trade Reporting Securities Transaction Credit
SR-FINRA-2010-012 Proposed Rule Change to Amend FINRA Rule 8312 (BrokerCheck Disclosure)
SR-FINRA-2010-011 Proposed Rule Change to Modify Certain FINRA/Nasdaq Trade Reporting Facility Fees
SR-FINRA-2010-010 Proposed Rule Change to Update a Cross-Reference within FINRA Rule 0150
SR-FINRA-2010-009 Proposed Rule Change to Provide Additional Relief Relating to Certain FINRA/Nasdaq Trade Reporting Facility and OTC Reporting Facility Fees
SR-FINRA-2010-008 Proposed Rule Change to Amend Incorporated NYSE Rule 312(g)(1)
SR-FINRA-2010-007 Proposed Rule Change to Amend the By-Laws of FINRA Dispute Resolution
SR-FINRA-2010-006 Proposed Rule Change to Amend Rules 12602 and 13602 of the Customer and Industry Codes to Provide for Attorney Representation of Non-Party Witnesses in Arbitration
SR-FINRA-2010-005 Proposed Rule Change to Repeal Incorporated NYSE Rule 405(4) Common Sales Accounts

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