Rule Filings

Rule Filing Number Titlesort descending
SR-FINRA-2016-030 Proposed Rule Change Relating to Motions to Dismiss in Arbitration
SR-NASD-2004-165 Proposed Rule Change Relating to NASD Rule 2790
SR-NASD-2005-089 Proposed Rule Change Relating to NASD's Direct Authority for the Activities Related to or in Support of Trading in Over-the-Counter Equity Securities
SR-FINRA-2016-014 Proposed Rule Change Relating to National Adjudicatory Council Composition, Member Terms and Election Procedures
SR-NASD-2007-005 Proposed Rule Change Relating to Operating NASD's Alternative Display Facility on a Permanent Basis
SR-FINRA-2014-027 Proposed Rule Change Relating to Options Exercise Procedures
SR-FINRA-2009-085 Proposed Rule Change Relating to Order Reporting Requirements on the Alternative Display Facility
SR-FINRA-2013-050 Proposed Rule Change Relating to Over-the-Counter Equity Trade Reporting and OATS Reporting
SR-FINRA-2013-031 Proposed Rule Change Relating to Participation on the Alternative Display Facility
SR-FINRA-2014-006 Proposed Rule Change Relating to Per Share Estimated Valuations for Unlisted DPPs and REITs
SR-NASD-1999-042 Proposed Rule Change Relating to Performance Fee Arrangements
SR-FINRA-2008-007 Proposed Rule Change Relating to Permanent Approval of the Pilot Program that Increases Options Position and Exercise Limits
SR-FINRA-2014-008 Proposed Rule Change Relating to Protecting Personal Confidential Information in Documents Filed with FINRA Dispute Resolution
SR-FINRA-2010-001 Proposed Rule Change Relating to Publication of Certain Aggregate Daily Trading Volume Data
SR-FINRA-2014-030 Proposed Rule Change Relating to Quotation Requirements for Unlisted Equity Securities and Deletion of the Rules Related to the OTC Bulletin Board Service
SR-FINRA-2010-049 Proposed Rule Change Relating to Quotation Requirements on the Alternative Display Facility
SR-FINRA-2014-017 Proposed Rule Change Relating to Reporting and Market Participant Identifier Requirements for Alternative Trading Systems
SR-FINRA-2009-082 Proposed Rule Change Relating to Reporting of Trade Cancellations to FINRA
SR-FINRA-2016-046 Proposed Rule Change Relating to Reporting Transactions in U.S. Treasury Securities to the Trade Reporting and Compliance Engine
SR-FINRA-2017-025 Proposed Rule Change Relating to Revisions to the Definition of Non-public Arbitrator
SR-FINRA-2014-028 Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator
SR-FINRA-2015-023 Proposed Rule Change Relating to Rule 4553 and Fees for Access to Alternative Trading System Volume Information Published on FINRA’s Website
SR-FINRA-2016-045 Proposed Rule Change Relating to Rule 4554 Reporting Requirements for Alternative Trading Systems
SR-FINRA-2011-008 Proposed Rule Change Relating to Rule 6450 (Restrictions on Access Fees)
SR-FINRA-2008-017 Proposed Rule Change Relating to Section 1(a) of Article III of the FINRA By-Laws

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