Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2009-078 Proposed Rule Change to Update Certain Rule Cross-References and Make Other Non-Substantive Technical Changes to FINRA and NASD Rules
SR-FINRA-2009-077 Proposed Rule Change to Restructure Quotation Collection and Dissemination for OTC Equity Securities
SR-FINRA-2009-076 Proposed Rule Change to Amend the FINRA Rule 9550 Series (Expedited Proceedings)
SR-FINRA-2009-075 Proposed Amendments to Postponement Fee Rule and Hearing Session Fee Rule under the Arbitration Codes
SR-FINRA-2009-074 Proposed Rule Change to Amend FINRA Rule 9251 (Inspection and Copying of Documents in Possession of Staff)
SR-FINRA-2009-073 Proposed Rule Change to Amend Rules 12213 and 13213 of the Customer and Industry Codes to Expand the Criteria for Selecting a Hearing Location for an Arbitration Proceeding
SR-FINRA-2009-072 Proposed Rule Changes to Amend Rules 12307 and 13307 of the Customer and Industry Codes to Clarify the Date of Filing of an Arbitration Claim Once a Deficiency is Corrected
SR-FINRA-2009-071 Proposed Rule Change to Increase the Session Fee for the Regulatory Element of the Continuing Education Requirements Pursuant to FINRA Rules
SR-FINRA-2009-070 Proposed Rule Change to Adopt FINRA Rule 2211 (Communications with the Public About Variable Insurance Products)
SR-FINRA-2009-069 Proposed Rule Change to Impose an Excess Capacity Usage Fee on ADF Trading Centers that Exceed Their Certified Volume Levels Pursuant to a New FINRA ADF Capacity Management Plan
SR-FINRA-2009-068 Proposed Rule Change to Adopt FINRA Rule 11890 Series (Clearly Erroneous Transactions) in the Consolidated FINRA Rulebook
SR-FINRA-2009-067 Proposed Rule Change to Adopt FINRA Rules 2060 (Use of Information Obtained in Fiduciary Capacity) and 5290 (Order Entry and Execution Practices) in the Consolidated FINRA Rulebook
SR-FINRA-2009-066 Proposed Rule Change to Adopt FINRA Rule 2251 (Forwarding of Proxy and Other Issuer-Related Materials) in the Consolidated FINRA Rulebook
SR-FINRA-2009-065 Proposed Rule Change Relating to the Expansion of TRACE to Include Asset-Backed Securities, Mortgage-Backed Securities and Other Similar Securities
SR-FINRA-2009-064 Proposed Rule Change Relating to the Publication of Certain Daily and Monthly Short Sale Data on the FINRA Web Site
SR-FINRA-2009-063 Proposed Rule Change to Extend to November 30, 2010, the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2009-062 Proposed Rule Change to Update Certain Cross-References Within Certain FINRA Rules
SR-FINRA-2009-061 Proposed Rule Change to Require Members to Report OTC Transactions in Equity Securities Within 30 Seconds of Execution
SR-FINRA-2009-060 Proposed Rule Change to Amend FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books)
SR-FINRA-2009-059 Proposed Rule Change to Adopt FINRA Rules 2130 (Approval Procedures for Day-Trading Accounts) and 2270 (Day-Trading Risk Disclosure Statement) in the Consolidated FINRA Rulebook
SR-FINRA-2009-058 Proposed Rule Change to Adopt FINRA Rule 2232 (Customer Confirmations) in the Consolidated FINRA Rulebook
SR-FINRA-2009-057 Proposed Rule Change Relating the FINRA By-Laws to Amend the Personnel Assessment and Gross Income Assessment
SR-FINRA-2009-056 Proposed Rule Change Relating to Fee for Investment Banking Representative Examination
SR-FINRA-2009-055 Proposed Rule Change to Adopt FINRA Rules 5210 (Publication of Transactions and Quotations) and 5220 (Offers at Stated Prices) into the Consolidated Rulebook
SR-FINRA-2009-054 Proposed Rule Change to Adopt FINRA Rules 6434, 6437, 6450 and 6460

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