Rule Filings

Rule Filing Numbersort ascending Title
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
SR-FINRA-2010-004 Proposed Rule Change to Make Non-Substantive Technical Changes to FINRA Rule 4521
SR-FINRA-2010-003 Proposed Rule Change Relating to Trade Reporting of OTC Equity Securities and Restricted Equity Securities
SR-FINRA-2010-002 Proposed Rule Change to Update Rule Cross-References and Make Other Various Non-Substantive Technical Changes to FINRA Rules
SR-FINRA-2010-001 Proposed Rule Change Relating to Publication of Certain Aggregate Daily Trading Volume Data
SR-FINRA-2009-095 Proposed Rule Change to Adopt FINRA Rule 3240 (Borrowing From or Lending to Customers) in the Consolidated FINRA Rulebook
SR-FINRA-2009-094 Proposed Rule Change Relating to Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities
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-2009-092 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-2009-090 Proposed Rule Change to Adopt FINRA Rule 5320 (Prohibition Against Trading Ahead of Customer Orders) in the Consolidated FINRA Rulebook
SR-FINRA-2009-089 Proposed Rule Change to Adopt FINRA Rule 6490 Relating to Processing of Company-Related Actions and Implementing Fees for Such Services

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