Rule Filings
View the Rule Filing Status Report.
Rule Filing Number |
Title |
|---|---|
| SR-FINRA-2014-005 | Proposed Rule Change to Amend Rules 12104 and 13104 to Broaden Arbitrators' Authority to Make Referrals During an Arbitration Proceeding |
| SR-FINRA-2014-004 | Proposed Rule Change Relating to Amendments to FINRA Rule 5110 (Corporate Financing Rule—Underwriting Terms and Arrangements) |
| SR-FINRA-2014-003 | Proposed Rule Change to Amend FINRA’s Corporate Financing Rules to Simplify and Refine the Scope of the Rules |
| SR-FINRA-2014-002 | Proposed Rule Change to Adopt FINRA Rule 7640A (Data Products Offered By Nasdaq) |
| SR-FINRA-2014-001 | Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) |
| SR-FINRA-2013-056 | Proposed Rule Change to Amend FINRA Rule 2251 (Forwarding of Proxy and Other Issuer-Related Materials) |
| SR-FINRA-2013-055 | Proposed Rule Change to Amend FINRA Rule 2360 (Options) Position Limits |
| SR-FINRA-2013-054 | Proposed Rule Change Relating to Capacity Management Plan |
| SR-FINRA-2013-053 | Proposed Rule Change to Update the Rules Governing the Alternative Display Facility |
| SR-FINRA-2013-052 | Proposed Rule Change Relating to Alternative Display Facility New Entrant |
| SR-FINRA-2013-051 | Proposed Rule Change to Amend the Uniform Branch Office Registration Form (Form BR) |
| SR-FINRA-2013-050 | Proposed Rule Change Relating to Over-the-Counter Equity Trade Reporting and OATS Reporting |
| SR-FINRA-2013-049 | Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) |
| SR-FINRA-2013-048 | Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Expand the Categories of Civil Judicial Disclosures that are Permanently Available in BrokerCheck |
| SR-FINRA-2013-047 | Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Include Information About Members and Their Associated Persons of Any Registered National Securities Exchange that Uses the CRD System for Registration Purposes |
| SR-FINRA-2013-046 | Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Additional Asset-Backed Securities |
| SR-FINRA-2013-045 | Proposed Rule Change to Revise the Series 6 Examination Program |
| SR-FINRA-2013-044 | Proposed Rule Change to Allow FINRA Members to Use the FINRA/NYSE Trade Reporting Facility to Transfer Transaction Fees Charged by One Member to Another Member |
| SR-FINRA-2013-043 | Proposed Rule Change Relating to TRACE Fees for Securities Act Rule 144A Transaction Data |
| SR-FINRA-2013-042 | Proposed Rule to Require Alternative Trading Systems to Report Volume Information to FINRA and Use Unique Market Participant Identifiers |
| 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) |