Rule Filings

Rule Filing Numbersort ascending Title
SR-FINRA-2013-041 Proposed Rule Change to Extend the Clearly Erroneous Pilot Period and to Remove Certain References to Individual Stock Trading Pauses in FINRA Rule 11892
SR-FINRA-2013-040 Proposed Rule Change to Amend FINRA Rule 7730(c) to Extend the Limited Waiver of the TRACE Professional Real-Time Data Display Fee Pilot
SR-FINRA-2013-039 Proposed Rule Change to Clarify the Classification and Reporting of Certain Securities to FINRA
SR-FINRA-2013-038 Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4)
SR-FINRA-2013-037 Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions)
SR-FINRA-2013-036 Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations)
SR-FINRA-2013-035 Proposed Rule Change to Adopt FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection – Permissible Use of Customers’ Securities) and 4340 (Callable Securities) in the Consolidated FINRA Rulebook
SR-FINRA-2013-034 Proposed Rule Change to Amend the Form U4 Regarding the Reporting of Unsatisfied Judgments and Liens
SR-FINRA-2013-033 Proposed Rule Change to Amend FINRA Rule 9217 to Include Additional Rule Violations Eligible for Disposition Under FINRA’s Minor Rule Violation Plan.
SR-FINRA-2013-032 Proposed Rule Change to Revise the Series 16 Examination Program
SR-FINRA-2013-031 Proposed Rule Change Relating to Participation on the Alternative Display Facility
SR-FINRA-2013-030 Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
SR-FINRA-2013-029 Dissemination of Transactions in TRACE-Eligible Securities that are Effected Pursuant to Securities Act Rule 144A
SR-FINRA-2013-028 Proposed Rule Change to Revise the Series 55 Examination Program
SR-FINRA-2013-027 Proposed Rule Change Relating to Amendments to FINRA Rules 2360 and 4210 in Connection with OCC Cleared Over-the-Counter Options
SR-FINRA-2013-026 Proposed Rule Change Relating to Members’ Filing Obligations Under FINRA Rule 5123 (Private Placements of Securities)
SR-FINRA-2013-025 Proposed Rule Change to Adopt the Consolidated FINRA Supervision Rules
SR-FINRA-2013-024 Proposed Rule Change to Amend the Discovery Guide Used in Customer Arbitration Proceedings
SR-FINRA-2013-023 Proposed Rule Change to Amend FINRA Rule 12403 of the Code of Arbitration Procedure for Customer Disputes to Simplify Arbitrator Selection in Cases with Three Arbitrators
SR-FINRA-2013-022 Proposed Rule Change Relating to Dissemination of Agency-Pass Through Mortgage-Backed Securities and SBA-Backed ABS Traded in Specified Pool Transactions
SR-FINRA-2013-021 Proposed Rule Change Relating to an Extension of the Implementation Date for FINRA Rule 5270 (Front Running of Block Transactions)
SR-FINRA-2013-020 Proposed Rule Change to Amend FINRA Rule 5250 (Payments for Market Making) to Create an Exception for Payments to Members that are Expressly Provided for Under the Rules of a National Securities Exchange
SR-FINRA-2013-019 Proposed Rule Change Relating to FINRA Rule 0180 (Application of Rules to Security-Based Swaps)
SR-FINRA-2013-018 Proposed Rule Change Relating to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information)
SR-FINRA-2013-017 Proposed Rule Change Relating to FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)

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