Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2009-088 Proposed Rule Change Relating to Waiver and Credit of Certain FINRA/Nasdaq Trade Reporting Facility and OTC Reporting Facility Fees
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-FINRA-2009-086 Proposed Rule Change to Adopt FINRA Rule 5160 (Disclosure of Price and Concessions in Selling Agreements) in the Consolidated FINRA Rulebook
SR-FINRA-2009-085 Proposed Rule Change Relating to Order Reporting Requirements on the Alternative Display Facility
SR-FINRA-2009-084 Proposed Rule Change to Adopt FINRA Rule 5330 (Adjustment of Orders) in the Consolidated FINRA Rulebook
SR-FINRA-2009-083 Proposed Rule Change to Adopt FINRA Rule 2330 (Members' Responsibilities Regarding Deferred Variable Annuities) in the Consolidated FINRA Rulebook
SR-FINRA-2009-082 Proposed Rule Change Relating to Reporting of Trade Cancellations to FINRA
SR-FINRA-2009-081 Proposed Rule Change to Adopt FINRA Rule 2261 (Disclosure of Financial Condition) in the Consolidated FINRA Rulebook
SR-FINRA-2009-080 Proposed Rule Change to Adopt FINRA Rule 4570 (Custodian of Books and Records) in the Consolidated FINRA Rulebook
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)

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